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Michael Hennessy

Director at Morgan Stanley Smith Barney

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Michael Hennessy is Director of Morgan Stanley Smith Barney LLC, a Purchase investment adviser managing $1.96T. Michael Hennessy has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at Morgan Stanley Smith Barney

Title on Schedule A
Director
Control
Michael Hennessy is a control person of Morgan Stanley Smith Barney.
Ownership
An individual ownership band is not available in the source record.
Tenure
Michael Hennessy has held the filed role since January 2024.

The firm

Morgan Stanley Smith Barney LLC
Purchase, NY

Form ADV filed 28 September 2026

$1.96T AUM2,703,720 clients13,000 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 10 · 2023
  2. Passed SIE · 2018
  3. Passed Series 24 and Series 63 · 2006
  4. Passed Series 7 · 1989

Registrations and exams

Broker registration; no current adviser registration. Michael Hennessy has passed 5 qualifying exams.

Examinations

Series 6310 October 2006
Name
Uniform Securities Agent State Law Examination
Series 102 January 2023
Name
General Securities Sales Supervisor - General Module Examination
Series 2415 May 2006
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 716 September 1989
Name
General Securities Representative Examination

Individual record

Full name
Michael S Hennessy
CRD
1988660
Firm
Morgan Stanley Smith Barney LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Michael Hennessy work?

Michael Hennessy has been Director of Morgan Stanley Smith Barney LLC since January 2024, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 28 September 2026

Does Michael Hennessy have a current investment-adviser registration?

Michael Hennessy has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Michael Hennessy passed?

Michael Hennessy has passed 5 licensing exams: the Series 7, Series 24, Series 63, SIE and Series 10. The earliest, the Series 7, was passed in September 1989.

Source: IAPD individual record, checked 17 October 2026

Leadership at Morgan Stanley Smith Barney

Sources

  1. IAPD individual record, CRD 1988660. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Morgan Stanley Smith Barney LLC, filed 28 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Michael Hennessy or Morgan Stanley Smith Barney LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.