Henry B. Marvin
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 Burdette Marvin, who also goes by Henry B Marvin, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1983. Henry had worked at 2 firms and has passed the Series 2 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 1989 - September 5, 1990
AETNA LIFE INSURANCE AND ANNUITY COMPANY
May 23, 1984 - October 15, 2012
WOODBURY FINANCIAL SERVICES, INC.
June 19, 1983 - September 5, 1990
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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 2
Date: 4/24/1968
Non-Member General Securities ExaminationCurrent Firm
AETNA LIFE INSURANCE AND ANNUITY COMPANY
CRD#: 13256 / SEC#: , 8-15409
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AETNA RETIREMENT HOLDINGS, INC. | PARENT | |
| BAKER, ALLAN | DIRECTOR AND SENIOR VICE PRESIDENT | 850724 |
| KIM, JOHN YONG | SR. VICE PRESIDENT/CHIEF INVESTMENT OFFICER | 2010539 |
| MCINERNEY, THOMAS JOSEPH | PRESIDENT AND DIRECTOR | 2400561 |
| MURPHY, BRIAN JOHN | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2825925 |
| SMITH, CATHERINE HALE | DIRECTOR, SENIOR VP, CHIEF FINANCIAL OFFICER | |
| WICKMAN, KIRK PETER | SENIOR VP, GENERAL COUNSEL, CORP. SECRETARY | 2836950 |
Disclosures
| Regulatory Event | 2 |
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.
