SMITH HAYES FINANCIAL SERVICES CORPORATION
SMITH & HAYES FINANCIAL SERVICES CORPORATION, SMITH HAYES FINANCIAL SERVICES CORPORATION, SMITH HAYES FINANCIAL SERVICES
CRD#: 17059/SEC#: 8-34980
PR
Previously Registered Brokerage Firm
Not currently registered as broker
Disclosures
4 Total Disclosures
3Regulatory Event1Arbitration
For details of these disclosures as well as disclosures involving non-registered affiliated entities refer to the Detailed Report. For disclosures involving registered affiliated entities visit the BrokerCheck page for those firms.
General Information
Established inNebraska since 09/16/1985
TypeCorporation
Fiscal Year End December
Direct Owners and Executive Officers
NamePosition
SMITH HAYES COMPANIES D/B/A SMITH HAYES PARENT COMPANY
DAVIS, COLLEEN TERESE (CRD#:1274284) VICE PRESIDENT, OPERATIONS
DECKER, JOHN LOUIS JR (CRD#:2812644) PRESIDENT, CEO
DEWHURST, KATHLEEN ANN (CRD#:1245164) VICE PRESIDENT, HR
HOWELL, RUTH ANNETTE (CRD#:1255071) CHIEF COMPLIANCE OFFICER
KERR, JAMES PATRICK (CRD#:824040) DIRECTOR
MANN, BRANDON MICHAEL (CRD#:4488207) VICE PRESIDENT OF SALES
NELSON, THOMAS STEVEN (CRD#:1108782) DIRECTOR
PURPURA, MICHAEL JOSEPH (CRD#:2095576) DIRECTOR
SCHAEFER, BOBBY JOHN (CRD#:5569260) CFO / SECRETARY / TREASURER
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

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B
Broker

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Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

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It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

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Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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