Francis M. Fay
Professional summary
Francis Michael Fay, who also goes by Francis Michael Fay III, Francis Fay, Frank Fay III, Francis Mchael Fay, is a registered financial professional currently at HENNION & WALSH, INC. located in Parsippany, New Jersey.
Francis is registered as a RR (Registered Representative) and started their career in finance in 1990. Francis has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Francis Michael Fay's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 11, 2022 - Present
HENNION & WALSH, INC.
Office #1: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018April 3, 2019 - January 28, 2022
DAVID LERNER ASSOCIATES, INC.
April 20, 2017 - August 6, 2018
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
March 12, 2013 - July 13, 2015
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
October 1, 2008 - September 23, 2011
J.P. MORGAN SECURITIES LLC
April 29, 2001 - October 1, 2008
J.P. MORGAN SECURITIES INC.
March 13, 2001 - May 1, 2001
JPMSI
January 20, 2000 - March 5, 2001
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
September 20, 1999 - January 28, 2000
JPMSI
August 21, 1997 - September 15, 1999
CITICORP INVESTMENT SERVICES
November 29, 1994 - August 27, 1997
UBS FINANCIAL SERVICES INC.
November 3, 1994 - December 15, 1994
CITIGROUP GLOBAL MARKETS INC.
July 31, 1990 - July 12, 1994
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/18/2022)
Exams
Series 99TO
Date: 4/24/2024
Operations Professional ExaminationSeries 8
Date: 2/23/1996
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
HENNION & WALSH, INC.
CRD#: 25766 / SEC#: , 8-41988
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HENNION, RICHARD | EXECUTIVE VICE PRESIDENT | 1315386 |
| WALSH, WILLIAM WALTER | PRESIDENT | 1174993 |
| FITZSIMMONS, PHILLIP | CHIEF COMPLIANCE OFFICER | 1625889 |
| HENNION, WILLIAM | VICE PRESIDENT | 2048378 |
| KOWALSKI, STEPHEN GEORGE | VICE PRESIDENT | 1919574 |
| MAHN, KEVIN DOUGLAS | MANAGING DIRECTOR | 2519398 |
| WURST, WENDY ANN | FINOP, TREASURER | 1902879 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 6 |
Red Flags
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