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Chad Michael Hayes
CHAD HAYES
CRD#: 5757662
IA
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 225 S 6TH ST STE 4500
MINNEAPOLIS, MN 55402
MINNEAPOLIS, MN 55402
0
Disclosures
7
Years of Experience
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State Registrations
B
Minnesota 9/20/2021
IA
Minnesota 9/20/2021
SRO Registrations
B
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IA
Registered with this firm since 9/20/2021
B
Registered with this firm since 9/1/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/14/2012 - 03/14/2017 | MENDOTA HTS, MN | |
B | 09/25/2012 - 03/14/2017 | MENDOTA HTS, MN |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.