Hayes ClarkCRD Number: 1197605
Current Firm: Stifel, Nicolaus & Company, Incorporated
Hayes Clark (CRD# 1197605) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Lebanon, PA and has over 34 years of experience in the finance industry.
Royal Alliance Associates, Inc.
Thrivent Investment Management Inc.
Ic Advisory Services, Inc.
|Stifel, Nicolaus & Company, Incorporated||Lebanon, PA||Jul 2007 - Current||10|
|Exam Code||Name||Passed Date|
|S65||NASAA Investment Advisors Law Examination||Feb 2014|
|S63||Uniform Securities State Law Examination||Feb 1984|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management53,887MILLIONS
Total Number of Accounts141,170ACCOUNTS
Average Account Value$381,719
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY