Shaun 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.
Shaun Eugene Hayes, who also goes by Shaun E Hayes, was a registered financial professional .
Shaun is a previously registered financial professional and started their career in finance in 2005. Shaun had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2020 - August 29, 2024
FQI CAPITAL MANAGEMENT LLC
August 3, 2017 - April 17, 2020
MCELHENNY SHEFFIELD CAPITAL MANAGEMENT, LLC
February 24, 2012 - August 2, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 24, 2012 - August 2, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 1, 2005 - March 7, 2012
EQUITABLE ADVISORS, LLC
June 28, 2005 - March 7, 2012
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FQI CAPITAL MANAGEMENT LLC
CRD#: 298931 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 145 |
| AUM (Assets Under Management) | $ 17,470,105 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 9/28/2018 |
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.
