Nicola J. Pariseau

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CRD#: 5333747

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.

Nicola Jane Pariseau, who also goes by Nicola J Greenslade, Nicola Jane Greenslade, Nicola J. Pariseau, was a registered financial professional .

Nicola is a previously registered financial professional and started their career in finance in 2007. Nicola had worked at 5 firms and has passed the Series 65, Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nicola J Greenslade | Nicola Jane Greenslade | Nicola J. Pariseau

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 28, 2022 - March 13, 2023

HAYES WEALTH ADVISORS, LLC

RIA

CRD#: 299807

DUNWOODY, GA

Past

September 22, 2010 - January 20, 2016

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

ATLANTA, GA

Past

October 20, 2009 - January 20, 2016

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ATLANTA, GA

Past

March 26, 2009 - July 21, 2009

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

BIRMINGHAM, MI

Past

March 26, 2009 - July 21, 2009

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

BIRMINGHAM, MI

Past

June 17, 2008 - February 12, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BLOOMFIELD HILLS, MI

Past

June 16, 2008 - February 12, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BLOOMFIELD HILLS, MI

Past

September 19, 2007 - January 24, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

BIRMINGHAM, MI

Past

June 22, 2007 - January 24, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

BIRMINGHAM, MI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HAYES WEALTH ADVISORS, LLC

CRD#: 299807 / SEC#: 801-132559

RIA

Registered Investment Advisory firm - (4/25/2025 Approved)

California

Registered Investment Advisory firm - (11/15/2022 Approved)

Colorado

Registered Investment Advisory firm - (9/25/2023 Approved)

Georgia

Registered Investment Advisory firm - (3/15/2019 Approved)

Illinois

Registered Investment Advisory firm - (9/12/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (11/9/2020 Approved)

Michigan

Registered Investment Advisory firm - (3/8/2023 Approved)

North Carolina

Registered Investment Advisory firm - (11/18/2020 Approved)

Pennsylvania

Registered Investment Advisory firm - (6/24/2022 Approved)

Texas

Registered Investment Advisory firm - (4/13/2022 Approved)

Virginia

Registered Investment Advisory firm - (12/19/2022 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/20/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/11/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/20/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/13/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/20/2007

General Securities Representative Examination

Current Firm

HAYES WEALTH ADVISORS, LLC

CRD#: 299807 / SEC#: 801-132559

RIA

Registered Investment Advisory firm - (4/25/2025 Approved)

California

Registered Investment Advisory firm - (11/15/2022 Approved)

Colorado

Registered Investment Advisory firm - (9/25/2023 Approved)

Georgia

Registered Investment Advisory firm - (3/15/2019 Approved)

Illinois

Registered Investment Advisory firm - (9/12/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (11/9/2020 Approved)

Michigan

Registered Investment Advisory firm - (3/8/2023 Approved)

North Carolina

Registered Investment Advisory firm - (11/18/2020 Approved)

Pennsylvania

Registered Investment Advisory firm - (6/24/2022 Approved)

Texas

Registered Investment Advisory firm - (4/13/2022 Approved)

Virginia

Registered Investment Advisory firm - (12/19/2022 Approved)

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Contact information

Main Address

Sandy Springs, GA

Mailing Address

Phone number

(404) 905-7489

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HAYES WEALTH ADVISORS BROCHURE AND SUPPLEMENT (4/30/2025)

Regulatory assets under management

Total Number of Accounts	658
AUM (Assets Under Management)	$ 102,109,317

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.

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Advisor Monitoring

Firm Stability Insights

Nicola J. Pariseau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

HAYES WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/20/2022

Series 66

Date: 9/11/2007

SIE

Date: 1/20/2016

Series 31

Date: 12/13/2007

Series 7

Date: 6/20/2007

Current Firm

HAYES WEALTH ADVISORS, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HAYES WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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