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HM

Henry C. Marshall

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CRD#: 1159809
HM

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 Carpenter Marshall JR was a registered financial professional .

Henry is a previously registered financial professional and started their career in finance in 1983. Henry had worked at 1 firm and has passed the Series 63 and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 23, 1983 - May 18, 2020

HUNTER, KEITH, MARSHALL & CO., INCORPORATED

BD
CRD#: 11424
New York, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/16/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination

Current Firm

HK
HUNTER, KEITH, MARSHALL & CO., INCORPORATED
HUNTER KEITH MARSHALL & EATON INC | HUNTER, KEITH, MARSHALL & CO., INCORPORATED

CRD#: 11424 / SEC#: , 8-23285

BD
Terminated by SEC on 05/16/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/20/1990
Firm type
Other Types of Legal Formation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MARSHALL, HENRY CARPENTER JRPRESIDENT/CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER1159809
MCVEIGH, LAURA MARIEFINOPS4450204

Disclosures

Regulatory Event2

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.

Company Information

HUNTER, KEITH, MARSHALL & CO., INCORPORATED

CRD#: 11424

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