Matthew J. Henry
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.
Matthew Joseph Henry, who also goes by Matt Henry, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1983. Matthew had worked at 8 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2004 - January 23, 2023
T.R. WINSTON & COMPANY, LLC
August 5, 1998 - June 22, 2004
GREATER METROPOLITAN INVESTMENT SERVICES, INC.
May 4, 1998 - August 18, 1998
D. WECKSTEIN & CO., INC.
April 15, 1996 - February 3, 1998
CROWN FINANCIAL GROUP, INC.
January 30, 1994 - April 16, 1996
SALOMON BROTHERS INC.
July 11, 1990 - January 11, 1994
T.R. WINSTON & COMPANY, LLC
August 25, 1988 - July 9, 1990
ADLER COLEMAN & CO., INC.
September 1, 1987 - July 19, 1990
ABN AMRO SECURITIES LLC
October 17, 1983 - October 14, 1987
PERSHING LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/5/2000
Limited Representative-Equity Trader ExamCurrent Firm
T.R. WINSTON & COMPANY, LLC
CRD#: 10571 / SEC#: , 8-27519
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUNNELS, G TYLER | DIRECTOR, CHAIRMAN AND CEO | 1415264 |
| KANG, KAREN | EXECUTIVE VICE PRESIDENT AND ROSFP | 4367718 |
| CRISWELL, JEFFREY LENOX SR | VICE PRESIDENT, SECRETARY, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | 2121440 |
| HEMEDES, STEPHEN NATHANIEL | MUNICIPAL PRINCIPAL AND HEAD TRADER | 6870830 |
| SANCIO, GALE ANN | ASSISTANT SECRETARY, ROSFP | 1121258 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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