Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Miguel? Claim Your ProfileMiguel Hennessy is an investment advisor representative and general securities representative with UBS Financial Services Inc. Miguel has been in the securities industry since 2003 and has worked for several firms including J.P. Morgan Securities LLC and Morgan Stanley & Co., Incorporated. Miguel is registered with the following securities exchanges: FINRA and the states of Alabama, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Illinois, Indiana, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington and Wyoming. Miguel holds the Series 7, 24, 63 and 65 licenses. Miguel is also a board member of the PAD Foundation and The Margarita & John Hennessy Family Foundation.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NY
07/26/2017 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
10/01/2008 - 08/05/2015
J.P. MORGAN SECURITIES LLC (new york NY)
NY
03/15/2007 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
CA
04/07/2003 - 07/01/2004
UNIFIED DISTRIBUTORS LLC (SAN MATEO CA)
NY
05/18/1999 - 03/27/2002
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
05/18/1999 - 03/27/2002
MORGAN STANLEY MARKET PRODUCTS INC. (NEW YORK NY)
IA
Issued 08/11/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/28/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/11/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/14/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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