Brian Francis Hayes

Current Employers

Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-07
TX	RA	APPROVED_RES	2017-05-26
NJ	RA	APPROVED	2017-05-25

NY RA
APPROVED

Since 2021-04-07
TX RA
APPROVED_RES

Since 2017-05-26
NJ RA
APPROVED

Since 2017-05-25

Branch Locations

2 Jericho Plaza Suite 113, Jericho, NY 11753 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Oppenheimer & Co. Inc.	New York	NY	03/2010	Present

03/2010 → Present

Oppenheimer & Co. Inc.

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-05-24
S65	Uniform Investment Adviser Law Examination	1997-11-14
S63	Uniform Securities Agent State Law Examination	1997-10-30

S66 Uniform Combined State Law Examination

2017-05-24
S65 Uniform Investment Adviser Law Examination

1997-11-14
S63 Uniform Securities Agent State Law Examination

1997-10-30

View on SEC IAPD

Current Employers

Oppenheimer & Co. Inc.

Disclosures

Employment History

Exams

Other Firms

Other Investors

Other Offices

Reviews