Michael J. Hester

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CRD#: 3044429

Professional summary

Michael John Hester was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Michael had worked at 6 firms, which includes INTERNATIONAL ASSETS ADVISORY LLC, INTERNATIONAL ASSETS INVESTMENT MANAGEMENT LLC, OPPENHEIMER & CO. INC., MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., MORGAN STANLEY DW INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 10, 2011 - September 21, 2011

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

ORLANDO, FL

Past

August 8, 2011 - September 21, 2011

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 144426

ORLANDO, FL

Past

November 29, 2010 - May 5, 2011

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

TAMPA, FL

Past

July 8, 2010 - May 5, 2011

OPPENHEIMER & CO. INC.

CRD#: 249

TAMPA, FL

Past

June 1, 2009 - July 6, 2010

MORGAN STANLEY

RIA

CRD#: 149777

TAMPA, FL

Past

June 1, 2009 - July 6, 2010

MORGAN STANLEY

CRD#: 149777

TAMPA, FL

Past

September 7, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

TAMPA, FL

Past

September 1, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

TAMPA, FL

Past

April 20, 2000 - September 8, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

TAMPA, FL

Past

April 20, 2000 - September 8, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

TAMPA, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INTERNATIONAL ASSETS ADVISORY, LLC

INTERNATIONAL ASSETS ADVISORY CORPORATION | JANSEN WEALTH MANAGEMENT, LLC | INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645 / SEC#: 801-119029, 8-27736

RIA

Registered Investment Advisory firm - SEC (7/21/2020 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/23/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 5/6/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/19/2000

General Securities Representative Examination

Current Firm

INTERNATIONAL ASSETS ADVISORY, LLC

INTERNATIONAL ASSETS ADVISORY CORPORATION | JANSEN WEALTH MANAGEMENT, LLC | INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645 / SEC#: 801-119029, 8-27736

RIA

Registered Investment Advisory firm - SEC (7/21/2020 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

111 North Orange Avenue Suite 1000, Orlando, FL 32801

Mailing Address

111 North Orange Avenue Suite 1000, Orlando, FL 32801

Phone number

(407) 254-1500

Established

Florida since 07/26/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (1 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

IAA FORM ADV PART 2A 1.30.2025 (1/31/2025)

Direct owners and executive officers

Name	Position	CRD#
PECUNIA MANAGEMENT, LLC	OWNER
COFRANCESCO, EDWARD RICHARD	CEO	2305035
LAMPMAN, MATTHEW EDWARD	PRESIDENT/CHIEF OPERATING OFFICER	6132493
MOORE, ANN KATHERINE	CHIEF BUSINESS DEVELOPMENT OFFICER	5535928
NICHOLSON, MYRA PEARLE	CHIEF LEGAL OFFICER, CHIEF RISK OFFICER	2740029
WEINBERGER, DAVID S	REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER	2676116
WEISS, RICHARD JAY	CHIEF COMPLIANCE OFFICER, CHIEF AML CCO	2523174

Disclosures

Regulatory Event	8
Arbitration	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.

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Michael J. Hester

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

INTERNATIONAL ASSETS ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/23/2000

Series 31

Date: 5/6/2004

Series 7

Date: 4/19/2000

Current Firm

INTERNATIONAL ASSETS ADVISORY, LLC

Contact information

SEC notice filing (1 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INTERNATIONAL ASSETS ADVISORY, LLC

TRUST BUT VERIFY

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