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Current Employers
Hays Financial Group, Llc

901 S. Marquette Avenue Suite 2820, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2025-10-21
  • VA RA
    APPROVED
    Since 2025-10-21

Branch Locations

901 S. Marquette Avenue Suite 2820, Minneapolis, MN 55402 • United States

2810 N. Parham Rd Suite 200, Richmond, VA 23294 • United States

Disclosures

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

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Principal Securities, Inc. Phoenix AZ 10/2008 12/2019
Transamerica Investors Securities, Llc Midlothian VA 12/2019 09/2025
Lpl Financial, Llc Richmond VA 08/2025 Present
Hays Financial Group, Llc Richmond VA 08/2025 Present
Previous Registrations
Other Businesses

1) 1- 10/2025 / Real Estate Rental / co owner / Investment Related / start date 06/01/2015 2- 10/2025 / Hays Investment Advisors / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mnth / 8 hrs during trading / at bus location / start date 10/03/2025 3- 11/19/2025 - Hays Financial Group - Registered Investment Advisor Hybrid - Investment Related - At Reported Business Location(s) - Start Date 08/31/2025 - 160 hours per month/ 120 hours during trading - I provide investment advisory services through Hays Financial Group, an independent investment advisor firm. I started this business activity in 9/2025. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-04-24
S63 Uniform Securities Agent State Law Examination 2007-03-07
  • S66 Uniform Combined State Law Examination
    2009-04-24
  • S63 Uniform Securities Agent State Law Examination
    2007-03-07

View on SEC IAPD

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