Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Hayes is a financial advisor with over 12 years of experience in the financial services industry. Mark has held various roles at E*TRADE Securities LLC and E*TRADE Capital Management LLC before joining Morgan Stanley in 2023. Mark is registered in over 50 states and holds a number of licenses and certifications including Series 7, 63, 66, 24, 4, 9, 10, 52TO, and 53. Mark’s specializations include investment planning, retirement planning, and asset management. Morgan Stanley provides a wide range of financial services and investment advice to individuals, families, businesses, and institutions.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
GA
10/02/2023 - Present
Morgan Stanley (Alpharetta GA)
GA
06/07/2011 - 09/05/2023
E*TRADE SECURITIES LLC (Alpharetta GA)
BOTH
Issued 03/17/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/13/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/14/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/14/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/23/2022
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/29/2020
Series 4 - Registered Options Principal Examination
BC
Issued 07/20/2015
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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