Articles Tagged with Owen Hayes

Owen Hayes

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that former Texas-based Wells Fargo Clearing Services broker/adviser Owen Hayes has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hayes (CRD# 2940457).

Owen Hayes has spent 21 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Dallas, Texas (2011-2019). Previous registrations include Wells Fargo Investments in Plano, Texas (2002-2011); Hibernia Investments in New Orleans, Louisiana (1997-2001); and Pruco Securities Corporation in Newark, New Jersey (1997). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 2, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 18, 1997; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on June 17, 1999; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 2, 1997. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received four customer complaints and one pending customer complaint.