Michael E. Hentges
Professional summary
Michael Edmund Hentges was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Michael had worked at 5 firms, which includes DOMINION INVESTOR SERVICES INC., SUN LIFE FINANCIAL DISTRIBUTORS INC., ANDREWS HENTGES & ASSOCIATES INC., WALNUT STREET SECURITIES INC., FORESTERS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2003 - June 6, 2005
DOMINION INVESTOR SERVICES, INC.
April 18, 1996 - September 24, 1999
DOMINION INVESTOR SERVICES, INC.
October 7, 1993 - December 1, 1995
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 22, 1993 - July 6, 1993
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
July 30, 1991 - January 21, 1993
ANDREWS, HENTGES & ASSOCIATES, INC.
August 8, 1990 - March 23, 1992
WALNUT STREET SECURITIES, INC.
November 12, 1984 - August 7, 1990
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
DOMINION INVESTOR SERVICES, INC.
CRD#: 21548 / SEC#: , 8-39029
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOMINION FINANCIAL SERVICES, INC. | PARENT/SHAREHOLDER | |
| CRISLER, SHIRLEY MAE | IP, SR VICE PRESIDENT, DIRECTOR, CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 2118069 |
| SHROPSHIRE, CAMERON EDWARD III | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP | 2233524 |
| SMITH, RIX CARLTON | PRESIDENT, CEO, DIRECTOR, GP, MP,OP | 1061442 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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