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MH

Melissa E. Hennessey

Some features on this profile are disabled
CRD#: 1378736
MH

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.

Melissa Eve Hennessey, who also goes by Melissa Eve Coopersmith, Melissa Eve Kaiser Coopersmith, Melissa Eve Kaiser, Melissa Kaiser, was a registered financial professional .

Melissa is a previously registered financial professional and started their career in finance in 1986. Melissa had worked at 8 firms and has passed the SIE and Series 52 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Melissa Eve Coopersmith | Melissa Eve Kaiser Coopersmith | Melissa Eve Kaiser | Melissa Kaiser

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

September 11, 2018 - February 27, 2020

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
WESTLAKE VILLAGE LOS ANGELES, CA
Past

March 24, 2017 - September 4, 2018

DEALERWEB LLC

BD
CRD#: 19662
LOS ANGELES, CA
Past

July 22, 2013 - March 13, 2017

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
WESTLAKE VILLAGE LOS ANGELES, CA
Past

July 1, 1997 - July 16, 2013

STARK FINANCIAL INDUSTRIES LLC

BD
CRD#: 25169
AGOURA HILLS, CA
Past

June 23, 1992 - May 16, 1997

MUNICIPAL PARTNERS INC.

BD
CRD#: 24513
NEW YORK, NY
Past

January 25, 1991 - June 26, 1992

MINT BROKERS

BD
CRD#: 13681
NEW YORK, NY
Past

July 2, 1990 - January 25, 1991

CANTOR, FITZGERALD MUNICIPAL BROKERS, INC.

BD
CRD#: 10780
Past

April 24, 1989 - June 5, 1990

J.J. KENNY DRAKE, INC.

BD
CRD#: 7118
NEW YORK, NY
Past

April 11, 1986 - April 24, 1989

CLIFFORD DRAKE & COMPANY INC.

BD
CRD#: 7092
NEW YORK, NY

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 52
Date: 4/10/1986
Municipal Securities Representative Examination

Current Firm

TP
TULLETT PREBON FINANCIAL SERVICES LLC
COWEN GOVERNMENT BROKERS, L.P. | TULLETT PREBON FINANCIAL SERVICES LLC | TULLETT LIBERTY SECURITIES LLC | TULLETT LIBERTY SECURITIES INC. | TULLETT & TOKYO LIBERTY SECURITIES INC. | PATRIOT SECURITIES, L.P. | PATRIOT SECURITIES, INC. | LIBERTY PATRIOT SECURITIES INC. | LIBERTY BROKERAGE SECURITIES INC.

CRD#: 28196 / SEC#: , 8-43487

BD
Terminated by SEC on 09/09/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/30/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TP ICAP AMERICAS HOLDINGS INC.100% OWNER
BERNARDO, SHAWN FRANCISCEO2513376
DESIMONE, LISA MARIECHIEF COMPLIANCE OFFICER2691368
GOULET, STEPHEN PAULSENIOR MANAGING DIRECTOR/GENERAL COUNSEL/SECRETARY4769810
PEZEU, CHRISTIAN JEAN MICHELPRINCIPAL FINANCIAL OFFICER5661987

Disclosures

Regulatory Event17

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.

Company Information

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

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