James HayettCRD Number: 1015599
Current Firm: Raymond James Financial Services Advisors, Inc.
James Hayett (CRD# 1015599) is an Investment Advisor Representative working at Raymond James Financial Services Advisors, Inc. in Waukesha, WI and has over 35 years of experience in the finance industry.
Financial Service Group Inc.
Fortress Planning Group
Cedarpoint Investment Advisors, Inc.
|Raymond James Financial Services, Inc.||Pewaukee, WI||Dec 2014 - Current||3|
|Raymond James Financial Services Advisors Inc.||Pewaukee, WI||Dec 2014 - Current||3|
|Morgan, Aly Wealth Management||Waukesha, WI||Dec 2014 - Current||3|
|Next Financial Group Inc.||Hartland, WI||Mar 2008 - Dec 2014||6|
|Aig Financial Advisors, Inc.||Phoenix, AZ||Oct 2005 - Mar 2008||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1982|
|S65||NASAA Investment Advisors Law Examination||Sep 1999|
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:
- Employer Dispute
- Customer Dispute
Total Assets Under Management64,210MILLIONS
Total Number of Accounts224,839ACCOUNTS
Average Account Value$285,581
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, 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