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DH

Daniel G. Hayes

FNEX CAPITAL
Indianapolis, IN 46204
Some features on this profile are disabled
CRD#: 6074295
DH

Professional summary

Daniel G Hayes, who also goes by Daniel Hayes, is a registered financial professional currently at FNEX CAPITAL, LLC located in Indianapolis, Indiana.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2012. Daniel has worked at 5 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 24, Series 4, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel 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 Daniel G 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

April 12, 2022 - Present

FNEX CAPITAL, LLC

Office #1: One Indiana Square Suite 2252, Indianapolis, IN 46204
BD
CRD#: 166316
Indianapolis, IN
Past

July 13, 2021 - April 8, 2022

SANCTUARY ADVISORS, LLC

RIA
CRD#: 226606
INDIANAPOLIS, IN
Past

July 13, 2021 - April 8, 2022

SANCTUARY SECURITIES, INC.

BD
CRD#: 205
MIAMI, FL
Past

February 12, 2013 - July 22, 2021

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Indianapolis, IN
Past

February 12, 2013 - July 22, 2021

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Indianapolis, IN
Past

August 9, 2012 - January 7, 2013

EDWARD JONES

RIA
CRD#: 250
ST LOUIS, MO
Past

July 20, 2012 - January 7, 2013

EDWARD JONES

BD
CRD#: 250
ST LOUIS, MO

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
Indiana
(4/12/2022)
RR
Massachusetts
(7/24/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/8/2012
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 3
Date: 1/14/2017
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/19/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/12/2022
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/28/2016
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/9/2015
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/2/2015
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FNEX CAPITAL, LLC
APPLIED CAPITAL, LLC | FNEX CAPITAL, LLC

CRD#: 166316 / SEC#: , 8-69199

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

Main Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Mailing Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Phone number
(317) 580-2588
Established
Indiana since 06/04/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FNEX, LLCMEMBER
HEGER, LOREN EUGENECEO, CCO, AMLCO, EXEC. REP.6143753
TEUFEL, FREDERICK CHARLESFINOP2092408

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

FNEX CAPITAL, LLC

CRD#: 166316Indianapolis, IN 46204

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