Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lawrence j.? Claim Your ProfileLawrence Hayes is an active Registered Representative and Investment Advisor Representative. Lawrence has been in the financial services industry since 1973. Lawrence is currently employed by UBS Financial Services Inc. Lawrence is licensed in 24 states. Lawrence is registered with FINRA. Lawrence has held previous positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Lockwood Financial Services, Inc., Smith Barney Inc., Lehman Brothers Inc., Shearson Hayden Stone Inc., and Hayden Stone Inc. Lawrence is a Series 8, 7TO, SIE, PC, and 1 licensed professional. Lawrence also holds a Series 63 license.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
OH
05/27/2009 - Present
UBS Financial Services Inc. (Miamisburg OH)
OH
04/23/2003 - 05/29/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DAYTON OH)
PA
09/21/1998 - 05/15/2003
LOCKWOOD FINANCIAL SERVICES, INC. (MALVERN PA)
NY
07/31/1993 - 09/23/1998
SMITH BARNEY INC. (NEW YORK NY)
NY
11/22/1977 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
11/17/1976 - 11/22/1977
SHEARSON HAYDEN STONE INC.
NA
11/08/1974 - 11/17/1976
SHEARSON HAYDEN STONE INC.
NA
03/16/1973 - 11/08/1974
HAYDEN STONE INC.
NA
02/01/1973 - 03/16/1973
HAYDEN STONE INC.
BC
Issued 11/06/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/19/1985
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/1977
PC - AMEX Put and Call Exam
BC
Issued 01/25/1973
Series 1 - Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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