JH
ChFC
JH
ChFC

James Hayes

21 Years of Experience
West Chester, PA
Broker

James Hayes is a ChFC-designated registered investment advisor at Capital Client Group, INC., based in West Chester, PA, with 21 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management.

Compensation
N/A
Firm Size
583 advisors
IM Fee
Planning only

Fee Structure

Investment management only (planning not offered)

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

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Location

West Chester, PA

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Capital Client Group, INC.
December 2024 - Present · 1 yr 5 mos
Capital Client Group, INC.
December 2024 - Present · 1 yr 5 mos
Capital Client Group, INC.Broker
December 2024 - Present · 1 yr 5 mos
Previous Registrations
Bny Mellon Securities CorporationBroker
May 2023 - November 2024 · 1 yr 6 mos
Bny Advisors
November 2022 - November 2024 · 2 yrs
Pershing LLCBroker
October 2022 - March 2024 · 1 yr 5 mos
Vanguard Marketing CorporationBroker
July 2005 - October 2022 · 17 yrs 3 mos
Northwestern Mutual Investment Services,llc
December 2004 - August 2005 · 8 mos
Northwestern Mutual Investment Services, LLCBroker
July 2004 - August 2005 · 1 yr 1 mo
State Registrations2 states
CAPA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
James Hayes - Financial Advisor | TrueAdvisor