Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ADAM L HAYES
CRD#: 4670629
IA
Investment Adviser
B
Broker
D.A. DAVIDSON & CO.CRD#: 199 115 CANOPY STREET
SUITE 400
LINCOLN, NE 68508
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - 2016 (11 years)2 FIRMS2016 - Present (8 years)
License(s)

State Registrations

B
Alabama 10/21/2024
B
Nebraska 7/25/2016
B
Alaska 7/25/2016
IA
Nebraska 7/29/2016
B
Arizona 7/25/2016
B
Nevada 1/27/2023
B
California 7/25/2016
B
New Mexico 1/16/2024
B
Colorado 7/25/2016
B
New York 7/25/2016
B
Florida 7/25/2016
B
North Carolina 9/18/2019
B
Georgia 7/25/2016
B
Ohio 7/25/2016
B
Hawaii 5/5/2020
B
Oregon 7/25/2016
B
Idaho 1/13/2025
B
South Carolina 7/25/2016
B
Illinois 7/25/2016
B
South Dakota 7/25/2016
B
Indiana 7/5/2019
B
Tennessee 6/14/2019
B
Iowa 7/25/2016
B
Texas 7/25/2016
B
Kansas 7/25/2016
IA
Texas 10/10/2018
B
Maine 8/2/2021
B
Utah 5/15/2019
B
Massachusetts 1/21/2021
B
Virginia 3/4/2022
B
Michigan 7/25/2016
B
Washington 7/25/2016
B
Minnesota 1/16/2018
B
West Virginia 7/24/2023
B
Missouri 2/2/2017
B
Wyoming 7/25/2016
B
Montana 12/10/2018

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

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
D.A. DAVIDSON & CO. (CRD#:199)
115 CANOPY STREET SUITE 400, LINCOLN, NE 68508
Registered with this firm since 7/29/2016
B
D.A. DAVIDSON & CO. (CRD#:199)
115 CANOPY STREET SUITE 400, LINCOLN, NE 68508
Registered with this firm since 7/25/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/26/2005 - 07/28/2016 SMITH HAYES ADVISERS INC (CRD#:110776) LINCOLN, NE
B
 05/06/2005 - 07/25/2016 SMITH HAYES FINANCIAL SERVICES CORPORATION (CRD#:17059) LINCOLN, NE
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.