David M. Hay

Some features on this profile are disabled

CRD#: 868391

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.

David Mills Hay was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1979. David had worked at 3 firms and has passed the Series 65, Series 63, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Name of business: Making Hay/Haymaker blog Investment-related: Yes Address: 274 North Legacy Ridge Drive Liberty Lake, WA 99019 Nature of Business: Blog posting macroeconomic related material Title: Author/Owner Start: 4/14/22 Hours: 20/month Duties: Create and write macroeconomic related posts to share to users

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 24, 2002 - April 1, 2025

EVERGREEN CAPITAL MANAGEMENT LLC

RIA

CRD#: 104931

BELLEVUE, WA

Past

October 3, 1990 - July 2, 2002

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BELLEVUE, WA

Past

July 23, 1990 - July 2, 2002

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 6, 1979 - November 19, 1990

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EVERGREEN CAPITAL MANAGEMENT LLC

EVERGREEN CAPITAL MANAGEMENT LLC | EVERGREEN GAVEKAL

CRD#: 104931 / SEC#: 801-20248

RIA

Registered Investment Advisory firm - (12/1/1983 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/11/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/10/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 12/11/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 6/16/1979

General Securities Representative Examination

Current Firm

EVERGREEN CAPITAL MANAGEMENT LLC

EVERGREEN CAPITAL MANAGEMENT LLC | EVERGREEN GAVEKAL

CRD#: 104931 / SEC#: 801-20248

RIA

Registered Investment Advisory firm - (12/1/1983 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1412 112th Ave Ne Suite 100, Bellevue, WA 98004

Mailing Address

Phone number

(425) 467-4600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EVERGREEN ADV PART 2A 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3,147
AUM (Assets Under Management)	$ 5,217,923,207

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/24/2025	Cover Page	Report
10/28/2024	Cover Page	Report
12/21/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David M. Hay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

EVERGREEN CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/11/1993

Series 63

Date: 9/10/1980

Series 5

Date: 12/11/1982

Series 7

Date: 6/16/1979

Current Firm

EVERGREEN CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EVERGREEN CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors