Daniel Hayes

Daniel Hayes
Associate Director of Compliance

Mr. Hayes has a diverse background in the brokerage industry with over 10 years of experience. He has worked in derivatives trading and risk management, pre-arbitration resolution and settlement, alternative investment suitability, KYC/AML compliance, and has managed multiple teams of financial professionals. Mr. Hayes has a Finance/Economics Degree from Indiana State University and FINRA Series, 7, 66, 9/10, 4, and 3 licenses.