James D. Henderson

MAST INVESTMENT ADVISORS LLC

NORTHFIELD, IL

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CRD#: 1129236

Professional summary

James Davis Henderson is a registered financial advisor currently at MAST INVESTMENT ADVISORS LLC located in Northfield, Illinois.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. James has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Davis Henderson's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 24, 2002 - Present

MAST INVESTMENT ADVISORS LLC

RIA

CRD#: 123571

NORTHFIELD, IL

Past

June 14, 1993 - June 19, 2002

VESTOR CAPITAL SECURITIES, LLC

CRD#: 15809

CHICAGO, IL

Past

April 30, 1986 - May 27, 1993

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 26, 1983 - May 23, 1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(6/24/2002)

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Exams

State Security Law Exam

IAR

Series 65

Date: 8/14/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/3/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/21/1983

General Securities Representative Examination

Current Firm

MAST INVESTMENT ADVISORS LLC

CRD#: 123571 / SEC#:

Illinois

Registered Investment Advisory firm - (6/24/2002 Approved)

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Contact information

Main Address

Northfield, IL

Mailing Address

Phone number

(847) 501-3148

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	63
AUM (Assets Under Management)	$ 10,000,000

Red Flags

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James D. Henderson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Davis Henderson's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAST INVESTMENT ADVISORS LLC

VESTOR CAPITAL SECURITIES, LLC

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 8/14/1998

Series 63

Date: 6/3/1983

Series 7

Date: 5/21/1983

Current Firm

MAST INVESTMENT ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MAST INVESTMENT ADVISORS LLC

TRUST BUT VERIFY

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