Samuel B. Hayes
Professional summary
Samuel B Hayes is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Samuel is registered as a RR (Registered Representative) and started their career in finance in 2010. Samuel has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Samuel B Hayes's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 7, 2022 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003October 22, 2020 - January 31, 2022
GROWTH CAPITAL SERVICES, INC.
June 22, 2018 - November 15, 2018
GROWTH CAPITAL SERVICES, INC.
July 18, 2014 - July 5, 2016
GROWTH CAPITAL SERVICES, INC.
March 3, 2014 - May 19, 2014
NPM SECURITIES, LLC
December 22, 2011 - August 19, 2013
FORGE SECURITIES LLC
January 7, 2011 - January 13, 2012
EMERSON EQUITY LLC
September 16, 2010 - January 4, 2011
GROWTH CAPITAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/7/2022)
Exams
Series 79TO
Date: 11/12/2021
Investment Banking Registered Representative ExaminationFINRA
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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