Colin F. Hannaway
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.
Colin Francis Hannaway, who also goes by Hannaway Francis Colin Francis, was a registered financial professional .
Colin is a previously registered financial professional and started their career in finance in 1997. Colin had worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2018 - March 1, 2023
HOULIHAN LOKEY CAPITAL, INC.
September 30, 2015 - December 13, 2017
JEFFERIES LLC
November 12, 2013 - October 1, 2015
PROBITAS FUNDS GROUP, LLC
February 28, 2013 - October 21, 2013
SANTANDER US CAPITAL MARKETS LLC
August 29, 2011 - September 30, 2013
PIERPONT CAPITAL ADVISORS LLC
June 9, 2009 - August 30, 2011
DETWILER FENTON & CO.
September 27, 2007 - November 11, 2008
HSBC SECURITIES (USA) INC.
June 1, 1999 - May 13, 2002
J.P. MORGAN SECURITIES INC.
September 8, 1997 - May 24, 1999
UBS FINANCIAL SERVICES 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
HOULIHAN LOKEY CAPITAL, INC.
CRD#: 17708 / SEC#: , 8-35643
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOULIHAN LOKEY AMERICAS (HOLDINGS) LLC | DIRECT OWNER OF HOULIHAN LOKEY CAPITAL, INC. | |
| ADELSON, SCOTT JOSEPH | PRESIDENT/CEO AND DIRECTOR (HLI) | 2147111 |
| ALLEY, JAMES LINDSEY | TREASURER/CHIEF FINANCIAL OFFICER (HLI) | 2394515 |
| BEISER, SCOTT LEE | VICE PRESIDENT/CO-CHAIRMAN AND DIRECTOR (HLI) | 2026185 |
| BEN-CANAAN, MARC AVI | CCO/AMLCO | 4885345 |
| CRAIN, CHRISTOPHER MADISON | SECRETARY/GENERAL COUNSEL | |
| TANIGUCHI, EDWARD NEAL | CHIEF FINANCIAL OFFICER, FINOP | 4632869 |
| YAMARONE, CHARLES ANTHONY III | CHIEF CORP.GOVERNANCE & COMPLIANCE OFFICER, HLI | 2190400 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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