Brian J. Hennessey
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.
Brian John Hennessey was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1970. Brian had worked at 6 firms and has passed the Series 63, PC, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 1996 - August 27, 1998
SLS SECURITIES COMPANY
December 27, 1978 - July 11, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 19, 1978 - July 29, 1978
KIDDER, PEABODY & CO. INCORPORATED
June 24, 1974 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
March 26, 1973 - July 26, 1974
CLARK, DODGE & CO., INCORPORATED
August 5, 1970 - April 30, 1973
G A SAXTON & CO 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
PC
Date: 5/2/1977
AMEX Put and Call ExamSeries 1
Date: 8/20/1965
Registered Representative ExaminationCurrent Firm
SLS SECURITIES COMPANY
CRD#: 13332 / SEC#: , 8-28456
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FRENCH AMERICAN SECURITIES, INC. | CLASS A LIMITED PARTNER | |
| L. C. MANAGEMENT, INC. | GENERAL PARTNER | |
| MORGAN, LOUIS JOHN II | CHIEF EXECUTIVE OFFICER, COMPLIANCE OFFICER, SROP/CROP | 2194485 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
Red Flags
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