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Joseph C Hayes is a financial advisor professional located in Geneva, NY. They specialize in financial advisory. With over 2 years of experience, they bring deep expertise to every client.
Joseph C Hayes - Principal Securities, Inc. holds an active professional license (FINRA CRD) for your protection.
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Joseph C Hayes operates Principal Securities, Inc. in Geneva, NY. With two years in business, the firm is registered with FINRA (Financial Industry Regulatory Authority), the self-regulatory organization overseeing broker-dealers and investment professionals. FINRA registration requires compliance with industry standards and ongoing regulatory oversight. The firm's CRD number (7867713) is the unique identifier within FINRA's Central Registration Depository, enabling verification of registration status and disciplinary history.
A FINRA CRD registration indicates that Joseph C Hayes and Principal Securities, Inc. are registered as a broker-dealer or associated person with FINRA. This registration means the firm and its principals comply with FINRA rules governing securities sales, trading, and investment advice. FINRA oversight includes background checks, continuing education requirements, and regulatory examinations. The CRD number serves as a public record that clients can use to verify registration status and review any disciplinary actions or complaints through FINRA's BrokerCheck system.