Thomas O 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:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-09-20
MA	RA	APPROVED	2017-07-18

TX RA
APPROVED

Since 2023-09-20
MA RA
APPROVED

Since 2017-07-18

Branch Locations

Marlborough, MA • 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

Organization	City	State	From	To
Bolton Global Capital	Bolton	MA	03/2011	06/2017
Lpl Financial	Marlborough	MA	06/2017	Present

03/2011 → 06/2017

Bolton Global Capital

Bolton, MA
06/2017 → Present

Lpl Financial

Marlborough, MA

Previous Registrations

2013-06-10 → 2017-06-07

Bolton Securities Corporation

Bolton, MA

Other Businesses

1.07/28/2022 - Cedar Hill Financial Group, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 07/14/2022 - 160 Hours Per Month/160 Hours During Securities Trading,

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-06-03
S63	Uniform Securities Agent State Law Examination	2011-07-14

S66 Uniform Combined State Law Examination

2013-06-03
S63 Uniform Securities Agent State Law Examination

2011-07-14

Other Names

Thomas D Hayes

View on SEC IAPD