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Current Employers
Hennion & Walsh Asset Management, Inc.

2001 Route 46 Waterview Plaza, Parsippany, NJ 07054 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2024-05-28
  • NJ RA
    APPROVED
    Since 2024-05-28

Branch Locations

2001 Route 46 Waterview Plaza, Parsippany, NJ 07054 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Instinet, Llc. New York NY 11/2012 04/2024
Hennion & Walsh, Inc. Parsippany NJ 04/2024 Present
  • 11/2012 → 04/2024
    Instinet, Llc.
    New York, NY
  • 04/2024 → Present
    Hennion & Walsh, Inc.
    Parsippany, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-05-23
S63 Uniform Securities Agent State Law Examination 2002-10-04
S66 Uniform Combined State Law Examination 1999-02-09
  • S65 Uniform Investment Adviser Law Examination
    2024-05-23
  • S63 Uniform Securities Agent State Law Examination
    2002-10-04
  • S66 Uniform Combined State Law Examination
    1999-02-09

View on SEC IAPD

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