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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

JORDAN CHRISTOPHER HAYES

Advisor at UBS FINANCIAL SERVICES INC.

LOS ANGELES, CA | PASADENA, CA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 14, 2001 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 19, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Aug 19, 1994
First registration: Feb 14, 2001
Dual registered: yes, broker-dealer
Other names: JORDAN CHRISTOPHER HAYES
IAPD individual key: 2391254

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UBS FINANCIAL SERVICES INC.	Wirehouse	Dec 12, 2008	n/a	yes	LOS ANGELES, CA\|PASADENA, CA	Current employment
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 5, 2003	Dec 20, 2008	no	LOS ANGELES, CA\|LOS ANGELES, CA	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Jan 17, 2003	Aug 7, 2003	no	SAN FRANCISCO, CA	Previous registration
PERSHING LLC	n/a	Feb 14, 2001	Jan 17, 2003	no	SAN FRANCISCO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CITIGROUP GLOBAL MARKETS INC.	UBS FINANCIAL SERVICES INC.	Dec 20, 2008	Dec 12, 2008	-8	Firm change	Other
CREDIT SUISSE SECURITIES (USA) LLC	CITIGROUP GLOBAL MARKETS INC.	Aug 7, 2003	Aug 5, 2003	-2	Firm change	Other
PERSHING LLC	CREDIT SUISSE SECURITIES (USA) LLC	Jan 17, 2003	Jan 17, 2003	0	Bulk transfer	Other

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Dec 12, 2008 to presentfactForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 5, 2003 to Dec 20, 2008factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Jan 17, 2003 to Aug 7, 2003factForm ADV
→ PERSHING LLCRegistered adviserregistration: previous registration
Feb 14, 2001 to Jan 17, 2003factForm ADV

Dated events

No dated event names this entity yet.