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JAMES FRANCIS HAYES
CRD#: 2775049
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 935 PILGRIM WAY
GREEN BAY, WI 54304
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2012 (6 years)2 FIRMS2012 - Present (12 years)BH&R BLOCK FINANCIAL ADVISORS, INC. (CRD# 5979)1996 - 2006 (10 years)
Disclosure(s)
View By:
5/14/2018
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 9/1/2015

B
Montana 10/5/2015

B
Arkansas 1/29/2013

B
Nevada 7/12/2016

B
California 1/4/2013

B
New Jersey 10/19/2016

B
Colorado 2/19/2021

B
New York 3/12/2021

B
Connecticut 3/10/2020

B
North Carolina 10/1/2012

B
Florida 10/1/2012

B
Ohio 10/1/2012

B
Hawaii 12/2/2014

B
Rhode Island 11/7/2023

B
Illinois 10/1/2012

B
Tennessee 1/25/2022

B
Indiana 4/1/2015

B
Texas 10/1/2012

B
Maryland 1/21/2022

IA
Texas 9/19/2013

B
Michigan 10/1/2012

B
Virginia 5/7/2019

B
Minnesota 10/9/2019

B
Wisconsin 10/1/2012

B
Missouri 10/1/2012

IA
Wisconsin 10/1/2012

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX Emerald, LLC

B
MIAX PEARL, LLC

B
MIAX Sapphire

B
Miami International Securities Exchange, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq MRX, 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
J.P. MORGAN SECURITIES LLC (CRD#:79)
935 PILGRIM WAY, GREEN BAY, WI 54304
Registered with this firm since 10/1/2012

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
935 PILGRIM WAY, GREEN BAY, WI 54304
Registered with this firm since 10/1/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/26/2006 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SEYMOUR, WI
B
07/26/2006 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SEYMOUR, WI
B
07/26/1996 - 07/19/2006 H&R BLOCK FINANCIAL ADVISORS, INC. (CRD#:5979) BROOKFIELD, WI
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B
Broker
IA
Investment Adviser
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.