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Detailed Report
MICHAEL JOHN HESTER
CRD#: 3044429
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2000200220042006200820102012IAINTERNATIONAL ASSETS INVESTMEN... (CRD# 144426)2011 - 2011 (<1 year)IAOPPENHEIMER & CO. INC. (CRD# 249)2010 - 2011 (<1 year)IAMORGAN STANLEY SMITH BARNEY LLC (CRD# 149777)2009 - 2010 (1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2006 - 2009 (2 years)IAMORGAN STANLEY (CRD# 7556)2000 - 2006 (6 years)
Disclosure(s)
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8/8/2012
Regulatory
Final
7/5/2012
Regulatory
Final
7/5/2012
Regulatory
Final
Previous Registration(s)
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 08/08/2011 - 09/21/2011 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC (CRD#:144426) ORLANDO, FL
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 11/29/2010 - 05/05/2011 OPPENHEIMER & CO. INC. (CRD#:249) TAMPA, FL
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 06/01/2009 - 07/06/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) TAMPA, FL
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 09/07/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) TAMPA, FL
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 04/20/2000 - 09/08/2006 MORGAN STANLEY (CRD#:7556) TAMPA, FL
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.