Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Francis Hayes is a financial advisor with J.P. Morgan Securities LLC, with over 27 years of experience in the financial services industry. James is registered in 25 states and 2 jurisdictions, including Texas and Wisconsin. He has also passed the Uniform Securities Agent State Law Examination (Series 63), the Uniform Investment Adviser Law Examination (Series 65), and the General Securities Representative Examination (Series 7) among other exams. James previously worked with Chase Investment Services Corp. and H&R Block Financial Advisors, Inc. James focuses on providing portfolio management for individuals and businesses, as well as financial planning services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
WI
10/01/2012 - Present
J.p. Morgan Securities LLC (GREEN BAY WI)
WI
07/26/2006 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (SEYMOUR WI)
WI
07/26/1996 - 07/19/2006
H&R BLOCK FINANCIAL ADVISORS, INC. (BROOKFIELD WI)
IA
Issued 11/30/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/02/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/10/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/06/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1996
Series 7 - General Securities Representative Examination
BC
Issued 07/25/1996
Series 52 - Municipal Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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