Michael P. Hanley
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 Philip Hanley, who also goes by Mike Hanley, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1970. Michael had worked at 9 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2009 - December 31, 2017
KMS FINANCIAL SERVICES, INC.
July 31, 2008 - December 31, 2017
KMS FINANCIAL SERVICES, INC.
January 21, 2003 - July 31, 2008
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
September 9, 1992 - March 5, 2011
MPH ASSET MANAGEMENT CO.
August 22, 1989 - July 31, 2008
ASSOCIATED SECURITIES CORP.
April 7, 1988 - August 26, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
August 24, 1987 - April 8, 1988
ASSOCIATED SECURITIES CORP.
April 6, 1983 - August 26, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
October 20, 1980 - February 21, 1984
EQUITABLE ADVISORS, LLC
May 10, 1973 - February 21, 1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 1, 1972 - May 23, 1973
AMERICAN INVESTORS COMPANY
May 25, 1970 - June 26, 1972
PORTSMOUTH SQUARE EQUITY CORP
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 1
Date: 9/19/1968
Registered Representative ExaminationCurrent Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
