Henry K. Sterzing
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.
Henry Keith Sterzing was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1982. Henry had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 1999 - July 25, 2017
BRAZOS SECURITIES, INC.
May 13, 1996 - October 30, 1998
DOMINION CAPITAL CORPORATION
April 17, 1995 - April 11, 1996
BLUEBONNET SECURITIES, INC.
July 25, 1990 - December 31, 1994
INTERNATIONAL MONEY MANAGEMENT GROUP, INC.
July 10, 1987 - January 17, 1990
FIRST FINANCIAL SECURITIES OF AMERICA, INC.
October 10, 1985 - July 7, 1987
SOURCE SECURITIES, INC.
July 7, 1982 - October 4, 1985
PFS INVESTMENTS INC.
March 30, 1982 - May 13, 1982
PW SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BRAZOS SECURITIES, INC.
CRD#: 21624 / SEC#: , 8-39119
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SIMS, BILLY FLOYD JR | PRESIDENT, SECRETARY ,SOLE SHAREHOLDER, FINOP, CCO AND GENERAL SECURITIES PRINCIPAL | 1548924 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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