James E. 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.
James Edward Hayes, who also goes by James E Hayes, James Edward Hayes, Jim Hayes, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1973. James had worked at 15 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1999 - December 16, 2013
HAYES CAPITAL MANAGEMENT, LLC
February 13, 1997 - September 2, 1997
ATLAS SECURITIES, LLC
May 10, 1996 - February 5, 1997
U.S. BANCORP INVESTMENTS, INC.
October 25, 1994 - April 3, 1995
DENVER FINANCIAL ADVISORS, INC.
December 18, 1992 - July 13, 1993
PORTFOLIO BROKERAGE SERVICES, INC.
March 11, 1992 - April 7, 1992
CETERA ADVISORS LLC
April 25, 1989 - March 12, 1991
OSAIC FS, INC.
June 17, 1986 - May 6, 1989
JOHN HANCOCK DISTRIBUTORS LLC
October 2, 1984 - January 2, 1986
LEHMAN BROTHERS INC.
May 3, 1984 - September 25, 1984
A. G. EDWARDS & SONS, INC.
January 4, 1983 - June 10, 1983
CIBC WORLD MARKETS CORP.
January 5, 1979 - January 12, 1983
CITIGROUP GLOBAL MARKETS INC.
February 24, 1978 - February 2, 1979
MORGAN STANLEY DW INC.
July 26, 1977 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
September 18, 1973 - September 24, 1974
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 9/13/1973
Registered Representative ExaminationCurrent Firm
HAYES CAPITAL MANAGEMENT, LLC
CRD#: 116709 / SEC#:
Contact information
Red Flags
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