Roger M. 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.
Roger Matthew Hayes was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1981. Roger had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 1984 - October 12, 1984
TRI-BRADLEY INVESTMENTS
December 19, 1983 - February 7, 1984
COLUMBINE SECURITIES, INC.
March 2, 1983 - December 5, 1983
HACKERT/MODESITT INVESTMENTS, LTD.
September 21, 1982 - March 7, 1983
AMERICAN FRONTEER FINANCIAL CORPORATION
August 9, 1982 - January 18, 1983
PRESTIGE INVESTORS, INC.
August 17, 1981 - August 3, 1982
FIRST FINANCIAL SECURITIES, 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
Exams
Current Firm
TRI-BRADLEY INVESTMENTS
CRD#: 14208 / SEC#: , 8-30394
Contact information
Documents
Red Flags
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