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901 S. Marquette Avenue Suite 2820, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-04-24 |
| S63 | Uniform Securities Agent State Law Examination | 2007-03-07 |
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