Individual Firm
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ZACHARY DANIEL HAYES
CRD#: 4233286
IA
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MARINER WEALTHCRD#: 140195 99 ALMADEN BLVD
SUITE 730
SAN JOSE, CA 95113
SUITE 730
SAN JOSE, CA 95113
0
Disclosures
24
Years of Experience
View By:
State Registrations
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California 12/19/2022
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Texas 12/19/2022
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Registered with this firm since 12/19/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/06/2017 - 02/07/2023 | SAN JOSE, CA | |
IA | 01/02/2009 - 10/02/2017 | SAN JOSE, CA | |
B | 05/06/2008 - 10/02/2017 | SAN JOSE, CA | |
IA | 05/06/2008 - 01/02/2009 | SAN JOSE, CA | |
IA | 01/01/2008 - 05/08/2008 | SAN JOSE, CA | |
B | 01/01/2008 - 05/08/2008 | SAN JOSE, CA | |
B | 05/28/2004 - 01/03/2008 | SAN JOSE, CA | |
IA | 05/28/2004 - 01/01/2008 | SAN JOSE, CA | |
IA | 01/08/2004 - 06/02/2004 | SAN DIEGO, CA | |
B | 10/15/2001 - 06/02/2004 | ST. LOUIS, MO | |
B | 01/30/2001 - 10/18/2001 | SAN FRANCISCO, CA |
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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.
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.