A complete list of active advisors currently associated with Carl M. Hennig, Inc.

Warmer can help you find a great advisor at Carl M. Hennig, Inc. or one who fits your needs even better.

Carl M. Hennig, Inc. is a small SEC‑registered broker‑dealer and state‑registered investment adviser with two advisory representatives overseeing roughly 24 advisory clients and about $24.7 million in reported assets. The firm offers two service packages: a referral‑based advisory arrangement that places brokerage clients into third‑party programs and an in‑house, non‑discretionary advisory service covering equities, fixed income, REITs, mutual funds and ETFs. The firm primarily provides non‑discretionary recommendations, requiring client authorization for each trade, and monitors third‑party managers on an ongoing basis. For referral clients CMH places accounts into several RBC Capital Markets programs (RBC UP, RBC Advisor, Consulting Solutions) that use overlay or third‑party money managers, while CMH retains oversight and delivers periodic written reports. Noteworthy aspects compared with peers include its primary role as a broker‑dealer (brokerage activities account for the majority of firm time and income) and that advisory revenue is reported to be less than half of total revenue; CMH also accepts 12b‑1 fees and receives a portion of fees from referred advisers. The firm discloses two regulatory items in its history (FINRA/NASD actions in 2005 related to compliance and AML oversight and a 1987 trade‑reporting matter) and maintains mainly non‑discretionary AUM (24 non‑discretionary accounts totaling about $23.7M as of December 31, 2024).

To learn more about the advisors currently working at Carl M. Hennig, Inc., click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.