Michele J. Hennessy

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CRD#: 1360167

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michele Joyce Hennessy was a registered financial professional .

Michele is a previously registered financial professional and started their career in finance in 1985. Michele had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 31, 2022 - April 4, 2022

CIG SECURITIES

CRD#: 129864

SOUTHFIELD, MI

Past

May 17, 2019 - March 10, 2020

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Birmingham, MI

Past

August 3, 2018 - October 4, 2018

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

December 12, 2017 - August 9, 2018

PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC

CRD#: 143809

PORTLAND, ME

Past

September 29, 2015 - December 31, 2017

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

August 11, 2006 - May 28, 2013

ARTIO GLOBAL MANAGEMENT LLC

RIA

CRD#: 106863

PHILADELPHIA, PA

Past

July 14, 2006 - May 20, 2013

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

August 4, 2005 - June 20, 2006

JULIUS BAER SECURITIES INC.

CRD#: 1141

NEW YORK, NY

Past

August 28, 2003 - January 3, 2005

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

NEW YORK, NY

Past

February 16, 1990 - March 6, 1991

TRICORP SECURITIES, LTD.

CRD#: 14548

Past

June 10, 1986 - December 16, 1987

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

April 24, 1985 - June 18, 1986

UBS FINANCIAL SERVICES INC.

CRD#: 8174

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 5/5/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/16/1992

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/26/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/24/2008

General Securities Principal Examination

Current Firm

CIG SECURITIES

CIG CORP | CIG SECURITIES, INC. | CIG SECURITIES

CRD#: 129864 / SEC#: , 8-66266

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

One Towne Square Suite 1850, Southfield, MI 48076

Mailing Address

One Towne Square Suite 1850, Southfield, MI 48076

Phone number

(248) 827-1010

Established

Michigan since 08/29/2003

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (12 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CIG CAPITAL ADVISORS (FORMERLY CIG CORP.)	OWNER
CHAPUT, KENNETH GERARD	CHIEF COMPLIANCE OFFICER / MD - COMPLIANCE & OPERATIONS	2504848
MINKARA, OSMAN RADWAN	MANAGING PRINCIPAL	2426151

Red Flags

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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Advisor Monitoring

Firm Stability Insights

Michele J. Hennessy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC

PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC

FORESIDE FUND SERVICES, LLC

ARTIO GLOBAL MANAGEMENT LLC

QUASAR DISTRIBUTORS, LLC

JULIUS BAER SECURITIES INC.

UBS ASSET MANAGEMENT (US) INC.

TRICORP SECURITIES, LTD.

E. F. HUTTON & COMPANY INC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/5/2016

Series 65

Date: 3/16/1992

SIE

Date: 10/1/2018

Series 7

Date: 8/26/2003

Series 24

Date: 10/24/2008

Current Firm

CIG SECURITIES

Contact information

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CIG SECURITIES

TRUST BUT VERIFY

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