Frank L. Hayes
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Frank Lane Hayes, who also goes by Frank L Hayes, Frankie Lane Hayes, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2002. Frank had worked at 3 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2019 - May 8, 2019
1ST GLOBAL ADVISORS INC
January 8, 2018 - January 18, 2019
CETERA WEALTH SERVICES, LLC
February 11, 2011 - December 31, 2017
CETERA WEALTH SERVICES, LLC
December 17, 2010 - January 31, 2011
CETERA WEALTH SERVICES, LLC
December 5, 2002 - November 29, 2010
AVANTAX PLANNING PARTNERS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
1ST GLOBAL ADVISORS INC
CRD#: 111133 / SEC#: 801-41517
Contact information
Documents
Part 2 Brochures
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
