Richard Hennion
Professional Summary
Richard Hennion is a registered financial advisor currently at HENNION & WALSH, INC. located in Parsippany, New Jersey. Richard is registered as a RR (Registered Representative) and started their career in finance in 1984. Richard has worked at 4 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 7, Series 55, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
HENNION & WALSH, INC. | NORI, HENNION, WALSH, INC.
Contact Information
Main Address
2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018Mailing Address
2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018Phone Number
(973) 299-8989Established
New Jersey since 10/24/1989Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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
12Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(3/14/1994)
(11/16/1993)
(6/1/1992)
(6/6/1990)
(11/17/1993)
(6/11/1990)
(12/9/1993)
(4/25/1994)
(8/27/1993)
(11/12/1993)
(11/12/1993)
(11/18/1993)
(11/15/1993)
(11/18/1993)
(11/15/1993)
(11/12/1993)
(11/24/1993)
(12/23/1993)
(11/29/1993)
(11/18/1993)
(2/13/1990)
(3/7/1990)
(11/10/1993)
(4/22/1994)
(11/9/1993)
(6/7/1990)
(11/12/1993)
(12/8/1993)
(4/25/1994)
(11/10/1993)
(6/2/1992)
(11/9/1993)
(6/2/1992)
(1/14/1994)
(11/10/1993)
(11/11/1993)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed May 2000SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Hennion's CRS (Customer Relationship Summary).
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