Andrew M. 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.
Andrew Mark Hennessey, who also goes by Andy Hennessey, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1997. Andrew had worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 6, Series 53, Series 24 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
October 4, 2005 - March 8, 2023
MFS FUND DISTRIBUTORS, INC.
January 13, 2005 - September 19, 2005
INVESTORS CAPITAL CORP.
August 6, 2003 - December 31, 2004
EASTERN POINT ADVISORS INC.
August 6, 2003 - September 19, 2005
INVESTORS CAPITAL CORP.
August 1, 2000 - August 11, 2003
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
November 17, 1999 - August 8, 2003
SIGNATOR INVESTORS, INC.
February 16, 1998 - June 29, 1998
SIGNATOR INVESTORS, INC.
August 11, 1997 - July 8, 1998
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
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
MFS FUND DISTRIBUTORS, INC.
CRD#: 31052 / SEC#: , 8-45321
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS FINANCIAL SERVICES COMPANY | PARENT COMPANY | |
| GEREMIA, CAROL WILLIAM | DIRECTOR AND CHAIRMAN OF THE BOARD | 1456883 |
| HARDIN, HEIDI WALTER | SECRETARY | 2619251 |
| HUNT, MICHAEL ANDREW | CHIEF COMPLIANCE OFFICER | 4150065 |
| KEENAN, MICHAEL SEAN | PRESIDENT AND DIRECTOR | 2324763 |
| SMELSTOR, JOSEPH JOHN IV | TREASURER AND SENIOR GROUP CONTROLLER | 6247186 |
Disclosures
| Regulatory Event | 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.
