Patrick G. Hennessy
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.
Patrick Gerard Hennessy, who also goes by Pat Hennessy, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1987. Patrick had worked at 5 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2001 - November 5, 2002
THOMAS FLETCHER & COMPANY, INC.
December 1, 1997 - February 16, 2001
KEATON FINANCIAL SERVICES, INC.
September 21, 1995 - December 10, 1997
JOSEPH DILLON & COMPANY INC.
December 23, 1994 - September 21, 1995
RICKEL & ASSOCIATES, INC.
October 20, 1987 - December 23, 1994
SOUTH RICHMOND SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 3/30/2000
Limited Representative-Equity Trader ExamCurrent Firm
THOMAS FLETCHER & COMPANY, INC.
CRD#: 43675 / SEC#: , 8-50465
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
