Edward T. Hennig
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.
Edward Timothy Hennig was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1996. Edward had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - July 23, 2018
NUVEEN SECURITIES, LLC
December 18, 2006 - January 3, 2011
U.S. BANCORP INVESTMENTS, INC.
August 2, 2005 - January 19, 2011
U.S. BANCORP ASSET MANAGEMENT, INC.
November 19, 2004 - July 26, 2007
QUASAR DISTRIBUTORS, LLC
February 24, 2004 - August 12, 2004
M&I FINANCIAL ADVISORS, INC
February 19, 2004 - October 22, 2004
M&I INVESTMENT MANAGEMENT CORP.
December 12, 1996 - February 10, 2004
STRONG INVESTMENTS, INC.
July 31, 1996 - February 10, 2004
STRONG CAPITAL MANAGEMENT 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
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| 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.
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