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LAWRENCE J. JOHN HAYES
LAWRENCE JOHN HAYES
CRD#: 240540
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 3601 Rigby Road
Suite 500
Miamisburg, OH 45342
Registration History
197519801985199019952000200520102015202020252 FIRMS2003 - 2009 (6 years)2 FIRMS2009 - Present (15 years)BLOCKWOOD FINANCIAL SERVICES, INC. (CRD# 40655)1998 - 2003 (4 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1998 (5 years)BLEHMAN BROTHERS INC. (CRD# 7506)1977 - 1993 (15 years)BSHEARSON HAYDEN STONE INC. (CRD# 7295)1976 - 1977 (1 year)BSHEARSON HAYDEN STONE INC. (CRD# 6774)1974 - 1976 (2 years)BHAYDEN STONE INC. (CRD# 6567)1973 - 1974 (1 year)BHAYDEN STONE INC. (CRD# 972)1973 - 1973 (<1 year)IALOCKWOOD FINANCIAL SERVICES, INC (CRD# 40655)1999 - 2003 (3 years)
Disclosure(s)
View By:
8/7/1992
Customer Dispute
Settled
4/23/1990
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 5/27/2009

B
New York 5/27/2009

B
California 5/27/2009

B
North Carolina 5/27/2009

B
Colorado 5/27/2009

B
Ohio 5/27/2009

B
Florida 5/27/2009

IA
Ohio 6/1/2009

B
Georgia 5/27/2009

B
Pennsylvania 10/13/2015

B
Illinois 5/21/2010

B
South Carolina 5/27/2009

B
Indiana 5/27/2009

B
South Dakota 2/7/2012

B
Kansas 5/27/2015

B
Tennessee 7/23/2014

B
Kentucky 3/12/2018

B
Texas 5/27/2009

B
Maryland 5/27/2009

IA
Texas 5/27/2009

B
Michigan 5/27/2009

B
Virginia 4/15/2011

B
Mississippi 5/27/2009

B
West Virginia 4/13/2011

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3601 Rigby Road Suite 500, Miamisburg, OH 45342
Kettering, OH
Registered with this firm since 5/27/2009

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3601 Rigby Road Suite 500, Miamisburg, OH 45342
Kettering, OH
Registered with this firm since 5/27/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/25/2003 - 05/29/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DAYTON, OH
B
04/23/2003 - 05/29/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DAYTON, OH
IA
08/16/1999 - 05/15/2003 LOCKWOOD FINANCIAL SERVICES, INC (CRD#:40655) DAYTON, OH
B
09/21/1998 - 05/15/2003 LOCKWOOD FINANCIAL SERVICES, INC. (CRD#:40655) MALVERN, PA
B
07/31/1993 - 09/23/1998 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
11/22/1977 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
11/17/1976 - 11/22/1977 SHEARSON HAYDEN STONE INC. (CRD#:7295)
B
11/08/1974 - 11/17/1976 SHEARSON HAYDEN STONE INC. (CRD#:6774)
B
03/16/1973 - 11/08/1974 HAYDEN STONE INC. (CRD#:6567)
B
02/01/1973 - 03/16/1973 HAYDEN STONE INC. (CRD#:972)
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Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.