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LH

Lee E. Hayes

FIRST FINANCIAL SECURITIES OF AMERICA
Albuquerque, NM 87109
Some features on this profile are disabled
CRD#: 5740020
LH

Professional summary

Lee Edward Hayes, who also goes by Lee Hayes, is a registered financial professional currently at FIRST FINANCIAL SECURITIES OF AMERICA, INC. located in Albuquerque, New Mexico.

Lee is registered as a RR (Registered Representative) and started their career in finance in 2010. Lee has worked at 2 firms and has passed the Series 63, Series 66, SIE, Series 6 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lee Hayes

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 Lee Edward Hayes'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

March 24, 2015 - Present

FIRST FINANCIAL SECURITIES OF AMERICA, INC.

Office #1: 7770 Jefferson Street Suite 420, Albuquerque, NM 87109
BD
CRD#: 13642
Albuquerque, NM
Past

March 12, 2010 - April 24, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ABILENE, TX
Past

January 25, 2010 - April 24, 2012

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ABILENE, TX

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
Louisiana
(5/9/2017)
RR
New Mexico
(9/23/2016)
RR
Texas
(3/24/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 3/12/2015
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 3/10/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/24/2015
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 1/22/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FIRST FINANCIAL SECURITIES OF AMERICA, INC.
FIRST FINANCIAL SECURITIES OF AMERICA, INC. | TAX SHELTERED INVESTMENTS EQUITIES CORPORATION | SOUTHWEST GENERAL SECURITIES CORPORATION

CRD#: 13642 / SEC#: , 8-29565

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
16945 Northchase Drive Suite 1800, Houston, TX 77060
Mailing Address
Po Box 670329, Houston, TX 77267-0329
Phone number
(281) 847-8422
Established
Texas since 12/04/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
70

FINRA licenses (28 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#
AMERICAN FIDELITY ASSURANCE COMPANYSHAREHOLDER
BLUTT, PAUL MATHIASCHIEF FINANCIAL OFFICER/FINOP7912579
KEELING, COURTNEY DANAECHIEF COMPLIANCE OFFICER7675059
PRUITT, SHERRIE RENEVICE PRESIDENT2691254
SCHNAUTZ, DAWSON LOUISPRESIDENT, DIRECTOR, PRINCIPAL2159228

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

FIRST FINANCIAL SECURITIES OF AMERICA, INC.

CRD#: 13642Albuquerque, NM 87109

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