Alexander David Hayes

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2012 → 05/2019
  Oppenheimerfunds
  Centennial, CO
• 05/2019 → 11/2021
  Invesco Distributors, Inc.
  Houston, TX
• 11/2021 → Present
  Lpl Financial, Llc
  San Jose, CA

Previous Registrations

• 2008-04-08 → 2012-04-09
  Putnam Investment Management, Llc
  Boston, MA
• 2006-06-02 → 2008-04-03
  Putnam Investment Management, Llc
  Boston, MA
• 2004-06-03 → 2004-10-18
  New York Life Investment Management Llc
  Parsippany, NJ

Other Businesses

1. 11/11/2021 - RD's Financial Strategies - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) 2. 12/06/2021 - AJ Wealth & Legacy, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 09/16/2021 - 200 Hours Per Month/10 Hours During Securities Trading. 3. 08/26/2024 - Curantis Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 10/01/2024 - 200 hours per month/ 10 hours during trading 4. 02/05/2026 - Mariner Insurance - Non-Variable Insurance - Insurance Agent - Investment Related - At Reported Business Location(s) - Start Date 02/04/2026 - 6 hours per month/ during trading 5. 06/03/2026 - Insurance Design Network, LLC - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 05/28/2026 - 6 hours per month/ during trading 6. 06/03/2026 - Lockton Affinity Affinity, LLC - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 05/28/2026 - 6 hours per month/ during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2021-09-28
• S63 Uniform Securities Agent State Law Examination
  2000-05-08

Other Names

• Alexander David Hayes
• Alexander David Hayes