Henry W. Wasik
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 Walter Wasik JR, who also goes by Hank Wasik, Henry Walter Jr Wasik, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1982. Henry had worked at 6 firms and has passed the Series 63, 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
November 27, 1995 - April 29, 1997
FIRST MONTAUK SECURITIES CORP.
November 19, 1989 - October 27, 1995
OSAIC WEALTH, INC.
July 1, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
July 26, 1985 - August 25, 1988
THOMSON MCKINNON SECURITIES INC.
May 20, 1983 - July 5, 1985
CHARLES SCHWAB & CO., INC.
September 24, 1982 - May 9, 1983
BERNARD HEROLD & CO., 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
Current Firm
FIRST MONTAUK SECURITIES CORP.
CRD#: 13755 / SEC#: , 8-29748
Contact information
Documents
Disclosures
| Regulatory Event | 25 |
| Arbitration | 28 |
| Bond | 5 |
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.
