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AH

Andrew L. Hays

LINCOLN DOUGLAS INVESTMENTS
Mt. Vernon, OH 43050
Some features on this profile are disabled
CRD#: 4641077
AH

Professional summary

Andrew Lawrence Hays is a registered financial professional currently at LINCOLN DOUGLAS INVESTMENTS, LLC located in Mt. Vernon, Ohio.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2003. Andrew has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Lawrence Hays's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 6, 2014 - Present

LINCOLN DOUGLAS INVESTMENTS, LLC

Office #1: 1051 Newark Rd, Mt. Vernon, OH 43050
RIA
BD
CRD#: 155578
Mt. Vernon, OH
Past

July 2, 2013 - December 18, 2013

M&A SECURITIES GROUP, INC.

BD
CRD#: 39999
KANSAS CITY, MO
Past

May 15, 2003 - February 3, 2005

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Ohio
(1/6/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 8/5/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/15/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 7/2/2013
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LD
LINCOLN DOUGLAS INVESTMENTS, LLC
LINCOLN DOUGLAS INVESTMENTS, LLC

CRD#: 155578 / SEC#: 801-72438, 8-68728

RIA
Registered Investment Advisory firm - SEC (11/29/2011 Terminated)
Georgia
Registered Investment Advisory firm - SEC (6/20/2012 Approved)
Ohio
Registered Investment Advisory firm - SEC (11/15/2011 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
1051 Newark Rd, Mount Vernon, OH 43050
Mailing Address
1051 Newark Rd, Mt. Vernon, OH 43050
Phone number
(740) 397-1397
Established
Ohio since 09/15/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
32

FINRA licenses (42 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
DENNIS, KENNETH EARLCEO2297497
MANSFIELD, DOUGLAS MARRGENERAL COUNSEL, CORPORATE SECRETARY
BULLOCK, BRANDON LEECFO, FINOP4617848
MOHNEY, BRIAN EUGENECHIEF COMPLIANCE OFFICER / AMLCO2890043

Regulatory assets under management

Total Number of Accounts199
AUM (Assets Under Management)$ 97,644,384

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.

Company Information

LINCOLN DOUGLAS INVESTMENTS, LLC

CRD#: 155578Mt. Vernon, OH 43050

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