Chris Hayes: Fifth Third Advisor Lands $320K Complaint

Dayton, Ohio financial advisor Chris Hayes (CRD# 2333190) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Fifth Third Securities.

Mr. Hayes’ BrokerCheck report discloses one investor complaint. Filed in June 2025, it alleges that as a representative of Fifth Third Securities, he recommended unsuitable investments in asset-backed debt products. The pending complaint alleges damages of $320,000.

Fifth Third Securities’ website includes a profile of Mr. Hayes in which he describes his background and philosophy as an investment professional. “My personal commitment is to provide clients with customized services to help them meet their financial goals” it explains. “After working with clients to identify and define their goals and needs, I develop strategies to help them meet their objectives. I meet with my clients periodically to make adjustments to their portfolios and re-define their needs as necessary to help keep them on track to achieve their long-term goals.”

According to the Financial Industry Regulatory Authority, Chris Hayes holds 32 years of securities industry experience. Based in Dayton, Centerville, and Miamisburg, Ohio, he has been registered as a broker and an investment advisor with Fifth Third Securities since 2004 and 2005, respectively. His past registrations include Morgan Stanley (Centerville, Ohio; 2001-2004), Lockwood Financial Services (Malvern, Pennsylvania; 1998-2000), Salomon Smith Barney (New York, New York; 1993-1998), and Lehman Brothers (New York, New York; 1993). His credentials include the passage of five securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; the General Securities Sales Supervisor – Options Module Examination, or Series 9; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63. He holds 24 state licenses. (Information current as of June 30, 2025.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.