James Patrick Hayes

333 South Hope Street 55Th Floor, Los Angeles, CA 90071-1406 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2026-07-09
CA	RA	APPROVED	2024-12-06

Branch Locations

333 South Hope Street, 55Th Floor, Los Angeles, CA 90071-1447 • United States

400 S. Hope Street 20Th Floor, Los Angeles, CA 90071 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
The Vanguard Group, Inc./ Vanguard Marketing Corp.	Malvern	PA	07/2005	10/2022
Lockwood/ Bny Mellon Securities Corp./ Bny Advisors/Pershing Llc	New York	NY	10/2022	11/2024
Capital Group / Capital Client Group, Inc.	Los Angeles	CA	11/2024	Present

07/2005 → 10/2022

The Vanguard Group, Inc./ Vanguard Marketing Corp.

Malvern, PA
10/2022 → 11/2024

Lockwood/ Bny Mellon Securities Corp./ Bny Advisors/Pershing Llc

New York, NY
11/2024 → Present

Capital Group / Capital Client Group, Inc.

Los Angeles, CA

2022-11-21 → 2024-11-26

Bny Mellon Advisors, Inc.

New York, NY

West Chester, PA
2004-12-08 → 2005-08-05

Northwestern Mutual Investment Services, Llc

Wayne, PA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-12-06