Individual Firm
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THOMAS BRIAN HAYES
Brian Hayes
CRD#: 2515869
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MILESTONE ASSET MANAGEMENT, LLCCRD#: 310441 1825 Dogwood Court
Kokomo, IN 46902
Kokomo, IN 46902
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2/7/2000
Regulatory
Final
9/18/1998
Employment Separation After Allegations
State Registrations
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Indiana 1/14/2008
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Pennsylvania 4/19/2021
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Registered with this firm since 4/16/2021
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Registered with this firm since 1/14/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/17/2021 - 04/14/2021 | Kokomo, IN | |
IA | 12/04/2020 - 02/11/2021 | Kokomo, IN | |
B | 07/24/2000 - 06/26/2002 | NEW YORK, NY | |
B | 08/10/1994 - 09/25/1998 | SPRINGFIELD, MA | |
B | 08/10/1994 - 09/25/1998 | NEW YORK, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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