Expert Review

Jason Hayes: Charged by FINRA or Not? (New Update 2023)

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Who is Jason Hayes (CRD#: 4281254)

Jason Hayes is the creator and leader of Merrill Lynch Wealth Management’s Hayes advice business, a boutique-style advice, banking, and investment business. Jason leads a team of over ten specialists who help high-net-worth families and individuals reach their planning and asset management objectives.

Jason Hayes and his colleagues help entrepreneurs, senior professionals with concentrated stock, retirees, and their families make better financial decisions. Jason Hayes and his colleagues, in particular, offer thorough balance sheet consulting, tailored goals-based planning, and asset management. The Hayes Advisory Group aspires to provide a superior client experience through clear articulation of client goals, proactive anticipatory client service, clear and concise communication, and objectivity. Jason also works with independent professionals on behalf of his clients to provide estate planning and tax minimization methods.

Jason worked as an Associate Private Banker in Deutsche Bank Alex Brown’s Private Banking and Investment Group before joining Merrill Lynch Wealth Management in 2002. Jason began his work with PricewaterhouseCoopers in San Francisco, CA after graduating from James Madison University with a B.S. in Finance. Jason received the CERTIFIED FINANCIAL PLANNER certification and the Chartered Retirement Planning Counselor, CRP designation from the Certified Financial Planner Board of Standards, Inc. in 2007.

He also has the Merrill internal designation of Retirement Benefits Consultant, which is awarded to a small group of advisers who are qualified to provide access to fiduciary investment and planning guidance services to Defined Contribution Retirement plans. Jason is also a Certified Plan Fiduciary Advisor or CPFA.

Jason was recognized to Forbes’ list of “Best-In-State Wealth Advisors” in 2020, 2021, 2022, and 2023 (published annually from January to April). Rankings are based on statistics as of June 30 of the previous year.

Jason was also named to the 2023 Barron’s “Top 1200 Financial Advisors” list (Published on March 10, 2023. Rankings based on data as of September 30, 2022.)

Jason and his wife Nicole live in Orinda, CA with their son Brayden.

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About FIRM: Merrill Lynch Wealth Management

What is Merrill Lynch Wealth Management?

Merrill Lynch Wealth Management is a division of Bank of America that provides financial planning and investment management services to individuals, families, and businesses. The firm has a long-standing history of serving the financial needs of clients, and it is well-known for its sophisticated investment products and services.

The History of Merrill Lynch Wealth Management

Merrill Lynch Wealth Management was founded in 1914 by Charles Merrill and Edmund Lynch. The company was initially established to provide investment banking services to middle-market companies. However, over the years, Merrill Lynch expanded its services to include retail brokerage, wealth management, and financial planning.

In 2009, Merrill Lynch was acquired by Bank of America, and the two companies merged to form one of the largest financial institutions in the world. Today, Merrill Lynch Wealth Management has over 14,000 financial advisors and manages over $2.3 trillion in client assets.

The benefits of using Merrill Lynch Wealth Management

One of the primary benefits of using Merrill Lynch Wealth Management is the firm’s extensive resources and expertise. The company has a team of experienced financial advisors who work closely with clients to develop customized investment strategies based on their individual needs and goals.

Merrill Lynch Wealth Management also provides clients with access to a wide range of investment products and services, including mutual funds, exchange-traded funds (ETFs), stocks, bonds, and alternative investments. Additionally, the firm offers a variety of tools and resources to help clients monitor their investments and make informed decisions about their financial future.

How Merrill Lynch Wealth Management Works

The key features of Merrill Lynch Wealth Management

Merrill Lynch Wealth Management offers a range of features to help clients manage their investments and plan for their financial future. Some of the key features of the firm include:

Financial planning:

Merrill Lynch Wealth Management offers comprehensive financial planning services to help clients achieve their financial goals. The company’s financial advisors work with clients to develop customized financial plans based on their individual needs and goals.

Investment management:

Merrill Lynch Wealth Management offers a range of investment management services, including portfolio management, asset allocation, and investment research.

Retirement planning:

Merrill Lynch Wealth Management offers a range of retirement planning services to help clients plan for their retirement. The firm’s financial advisors can help clients develop a retirement savings plan, estimate retirement expenses, and evaluate retirement income sources.

The different types of accounts offered by Merrill Lynch Wealth Management

Merrill Lynch Wealth Management offers a range of account options to meet the unique needs of individual clients. Some of the account options offered by the firm include:

Individual Retirement Accounts (IRAs):

Merrill Lynch Wealth Management offers traditional, Roth, and SEP IRAs to help clients save for retirement.

Brokerage accounts:

Merrill Lynch Wealth Management offers a range of brokerage accounts, including individual, joint, and custodial accounts.

Trusts and estates:

Merrill Lynch Wealth Management offers trust and estate planning services to help clients protect their assets and ensure that their wishes are carried out.

How to open an account with Merrill Lynch Wealth Management

Opening an account with Merrill Lynch Wealth Management is a straightforward process. Clients can either contact a financial advisor directly or visit the Merrill Lynch Wealth Management website to get started. The firm’s financial advisors will work with clients to determine their investment goals and risk tolerance and recommend an investment strategy that is tailored to their individual needs.

The fees and costs associated with Merrill Lynch Wealth Management

Merrill Lynch Wealth Management charges clients a fee based on the percentage of assets under management. The fee varies depending on the size of the account and the services provided. Additionally, some investment products and services offered by Merrill Lynch may also have additional fees and expenses.

The Merrill Lynch Wealth Management mobile app

Merrill Lynch Wealth Management offers a mobile app that allows clients to monitor their investments and access account information from their mobile devices. The app provides real-time market data, investment news, and alerts to help clients stay informed about their investments.

The Merrill Lynch Wealth Management website

The Merrill Lynch Wealth Management website provides clients with access to a range of tools and resources to help them manage their investments and plan for their financial future. The website includes market data, investment research, and educational resources to help clients make informed investment decisions.

How to achieve financial success with Merrill Lynch Wealth Management

Achieving financial success with Merrill Lynch Wealth Management requires a proactive approach to managing your investments and planning for your financial future. Here are some tips to help you get started:

Set clear financial goals:

To achieve financial success, it’s important to set clear financial goals and develop a plan to achieve them. Work with your financial advisor to identify your short-term and long-term financial goals and develop a plan to achieve them.

Monitor your investments:

Regularly monitoring your investments is essential to ensuring that your portfolio remains aligned with your investment goals and risk tolerance. Work with your financial advisor to regularly review your portfolio and make adjustments as needed.

Diversify your portfolio:

Diversifying your portfolio is essential to managing risk and achieving long-term investment success. Work with your financial advisor to develop a diversified investment strategy that is tailored to your individual needs and goals.

Take advantage of tax-efficient strategies:

Managing taxes is an important part of achieving financial success. Work with your financial advisor to identify tax-efficient investment strategies that can help you minimize your tax liability and maximize your investment returns.

Common Misconceptions about Merrill Lynch Wealth Management

There are several common misconceptions about Merrill Lynch Wealth Management. Here are a few of the most common misconceptions:

It’s too expensive:

While Merrill Lynch Wealth Management charges a fee for its services, the firm’s fees are competitive with other wealth management firms. Additionally, the firm’s extensive resources and expertise can help clients achieve long-term investment success.

It’s only for wealthy clients:

While Merrill Lynch Wealth Management does serve high-net-worth clients, the firm also offers services to individuals with more modest investment portfolios.

It’s only for investment management:

While investment management is a key part of Merrill Lynch Wealth Management’s services, the firm also offers a range of financial planning services to help clients achieve their financial goals.

22/11/2023 Update
As of now, Jason Hayes has not responded nor has he apologized for his misdeeds. He has ignored our efforts to highlight the problems faced by their victims. Furthermore, he has only focused on propagating his fake PR.
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Jason Hayes Disclosures: BrokerCheck, FINRA, And SEC Reports

Financial Advisors often take down their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any disputes in the past.

FINRA’s BrokerCheck

individual_4281254.pdf (finra.org)

SEC Litigations & Forms

image 1233

Source: jason hayes – SEC Site Search Search Results

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Jason Hayes Lawsuits, Legal Battles, & Disputes

There might be more pending lawsuits against Jason Hayes which are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Jason Hayes on these websites, you can contact the local authorities and check if they have a physical copy of any cases.

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Jason Hayes Complaints, Class Action Lawsuits & Legal Battles

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Jason Hayes using the websites down below:

You can contact the law firms mentioned above if facing issues with Jason Hayes or any financial advisor.

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Frequently Asked Questions

Where is NAME located?

California

What are NAME’s qualifications

for finance

Is NAME facing any lawsuits?

no

Has NAME been charged by the SEC?

no

How do I contact NAME?

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Does NAME have any disclosures?

no

Which Firm does NAME work with?

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

What is NAME’s CRD Number?

CRD#: 4281254
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Better Alternatives To Jason Hayes (By Experts):

These recommendations are based on the ratings of SmartAsset.com, the biggest financial advisor review platform on the internet.
You can check out the top 10 financial advisors in the U.S. to learn more.
Screenshot 2023 05 23 at 11.26.30 PM

Manages Assets Worth

  • $714,587,898,072

Services

  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors
  • Publication of periodicals
1625686851535

Manages Assets Worth

  • $173,418,270,044

Services

  • Financial planning
  • Portfolio management
  • Portfolio assessment
Screenshot 2023 05 23 at 11.45.48 PM

Manages Assets Worth

  • $46,803,858,104

Services

  • Portfolio management

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