Michael P. Heffernan
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.
Michael Patrick Heffernan, who also goes by Michael P Heffernan, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1991. Michael had worked at 3 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2004 - July 31, 2017
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
January 15, 1993 - July 19, 1999
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
January 29, 1991 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 29, 1991 - November 22, 2004
SIGNATOR INVESTORS, 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
Current Firm
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
CRD#: 28262 / SEC#: , 8-43582
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK INVESTMENT MANAGEMENT LLC | PARENT | |
| BOGLE, JAMES WILLIAM | PRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL | 7344902 |
| DUCKWORTH, JEFFREY OWEN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2429017 |
| FEINBERG, KRISTIE MARIE | CHAIRMAN | 3162040 |
| HARTIGAN, ROBERT JOSEPH | CHIEF COMPLIANCE OFFICER | 2931786 |
| MCFETRIDGE, ANDREW JOHN | DIRECTOR | 2516238 |
| WALTERS, GINA GOLDYCH | DIRECTOR | 5095838 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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