Michael J. Hanley
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.
Michael Joseph Hanley was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1978. Michael had worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 24, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2019 - August 18, 2020
COMPASS CAPITAL CORPORATION
February 7, 2019 - August 18, 2020
COMPASS SECURITIES CORPORATION
May 24, 2006 - February 10, 2017
OTR GLOBAL TRADING LLC
March 18, 2004 - December 31, 2008
OTA LLC
December 13, 2002 - September 3, 2003
B. RILEY SECURITIES, INC.
August 26, 1997 - September 19, 2002
COMMERZ MARKETS LLC
May 19, 1995 - April 24, 1997
NATWEST SECURITIES CORPORATION
July 22, 1992 - April 21, 1995
ABN AMRO SECURITIES LLC
November 21, 1989 - March 5, 1992
GLEACHER & COMPANY SECURITIES, INC.
March 4, 1982 - October 4, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
June 12, 1980 - March 2, 1982
KIDDER, PEABODY & CO. INCORPORATED
November 1, 1978 - April 30, 1980
CREDIT SUISSE SECURITIES (USA) LLC
Primary Firm SEC Registration
COMPASS CAPITAL CORPORATION
CRD#: 112323 / SEC#: 801-21957
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 7TO
Date: 10/3/2022
General Securities Representative ExaminationSeries 8
Date: 4/8/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
COMPASS CAPITAL CORPORATION
CRD#: 112323 / SEC#: 801-21957
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,371 |
| AUM (Assets Under Management) | $ 663,564,349 |
Red Flags
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