Joseph J. Hennessy
Professional summary
Joseph James Hennessy was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, Joseph had worked at 5 firms, which includes HLM SECURITIES INC., RESOURCES PLANNING GROUP INC, OSAIC WEALTH INC., INTEGRATED RESOURCES EQUITY CORPORATION, PLUMWOOD SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2005 - February 7, 2013
HLM SECURITIES, INC.
January 6, 2003 - December 31, 2009
RESOURCES PLANNING GROUP INC
September 17, 1997 - December 9, 2004
OSAIC WEALTH, INC.
November 19, 1989 - December 9, 2004
OSAIC WEALTH, INC.
January 8, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
September 25, 1985 - December 19, 1986
PLUMWOOD SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
HLM SECURITIES, INC.
CRD#: 133216 / SEC#: , 8-66700
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
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