RH
Richard Hennion
HENNION & WALSH
Parsippany, NJ 07054
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CRD#: 1315386
RH
Professional summary
Richard Hennion is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Richard Hennion's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 25, 1990 - Present
HENNION & WALSH, INC.
Office #1: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054Office #2: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018BD
CRD#: 25766
Parsippany, NJ
Past
January 2, 1990 - February 10, 1990
HANIFEN, IMHOFF SECURITIES CORP.
BD
CRD#: 10620
Past
July 14, 1988 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
BD
CRD#: 6917
Past
October 25, 1984 - June 16, 1988
PHILIPS, APPEL & WALDEN, INC.
BD
CRD#: 659
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/14/1994)
RR
Arizona(11/16/1993)
RR
California(6/1/1992)
RR
Connecticut(6/6/1990)
RR
District of Columbia(11/17/1993)
RR
Florida(6/11/1990)
RR
Georgia(12/9/1993)
RR
Idaho(4/25/1994)
RR
Indiana(8/27/1993)
RR
Kansas(11/12/1993)
RR
Kentucky(11/12/1993)
RR
Louisiana(11/18/1993)
RR
Maryland(11/15/1993)
RR
Michigan(11/18/1993)
RR
Minnesota(11/15/1993)
RR
Mississippi(11/12/1993)
RR
Missouri(11/24/1993)
RR
Montana(12/23/1993)
RR
Nevada(11/29/1993)
RR
New Hampshire(11/18/1993)
RR
New Jersey(2/13/1990)
RR
New York(3/7/1990)
RR
North Carolina(11/10/1993)
RR
Oklahoma(4/22/1994)
RR
Oregon(11/9/1993)
RR
Pennsylvania(6/7/1990)
RR
Rhode Island(11/12/1993)
RR
South Carolina(12/8/1993)
RR
South Dakota(4/25/1994)
RR
Tennessee(11/10/1993)
RR
Texas(6/2/1992)
RR
Vermont(11/9/1993)
RR
Virginia(6/2/1992)
RR
Washington(1/14/1994)
RR
West Virginia(11/10/1993)
RR
Wisconsin(11/11/1993)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/16/2000
Limited Representative-Equity Trader ExamPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
FINRA
Current Firm
H&
HENNION & WALSH, INC.
HENNION & WALSH, INC. | NORI, HENNION, WALSH, INC.
CRD#: 25766 / SEC#: , 8-41988
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018
Mailing Address
2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018
Phone number
(973) 299-8989
Established
New Jersey since 10/24/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
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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Check for any disclosures as part of your thorough research when choosing an advisor.
