Christopher E. 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.
Christopher Elliot Hayes was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2005. Christopher had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2016 - November 25, 2018
NEXPOINT SECURITIES, INC.
July 8, 2015 - October 7, 2016
NEXBANK SECURITIES INC
July 25, 2011 - August 8, 2013
NEUBERGER BERMAN BD LLC
June 1, 2011 - August 8, 2013
NEUBERGER BERMAN BD LLC
October 30, 2006 - March 13, 2009
HSBC SECURITIES (USA) INC.
March 29, 2005 - September 27, 2006
J.P. MORGAN SECURITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
NEXPOINT SECURITIES, INC.
CRD#: 165013 / SEC#: , 8-69128
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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