Ernst D. Bechhofer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ernst David Bechhofer, who also goes by Ernie Bechhofer, Ernst D Bechhofer, was a registered financial professional .
Ernst is a previously registered financial professional and started their career in finance in 1982. Ernst had worked at 7 firms and has passed the Series 63, Series 5, Series 15 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2010 - June 6, 2013
HENLEY & COMPANY LLC
June 30, 2009 - May 13, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 31, 2009 - May 13, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 20, 1994 - March 26, 2009
UBS FINANCIAL SERVICES INC.
December 13, 1988 - July 14, 1994
CITIGROUP GLOBAL MARKETS INC.
March 12, 1986 - December 19, 1988
TUCKER ANTHONY INCORPORATED
August 23, 1983 - March 20, 1986
UBS FINANCIAL SERVICES INC.
January 21, 1982 - September 2, 1983
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 11/2/1984
Interest Rate Options ExaminationSeries 15
Date: 3/26/1984
Foreign Currency Options ExaminationCurrent Firm
HENLEY & COMPANY LLC
CRD#: 131453 / SEC#: , 8-66463
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
