Edward T. Henderson
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.
Edward Thomas Henderson, who also goes by Edward T Henderson, Edward Thomas Henderson Sr, Edward Henderson, Ted Henderson, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1984. Edward had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 25, Series 3, Series 7, Series 27, Series 24, Series 14, Series 12 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2015 - June 15, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 26, 2014 - June 15, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 7, 2006 - October 8, 2014
NORTHERN TRUST SECURITIES, INC.
October 1, 2000 - July 6, 2006
VDM INSTITUTIONAL BROKERAGE, LLC
January 6, 2000 - June 3, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
February 25, 1998 - January 5, 2000
FIRST OPTIONS OF CHICAGO, INC.
September 24, 1997 - January 29, 1998
APEX CLEARING CORPORATION
March 13, 1995 - June 2, 1997
HAMBRECHT & QUIST LLC
June 3, 1991 - January 26, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 22, 1988 - February 8, 1991
SALOMON BROTHERS INC.
December 4, 1984 - June 21, 1988
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 25
Date: 12/14/1999
NYSE Trading Assistant ExaminationSeries 12
Date: 10/22/1997
NYSE Branch Manager ExaminationSeries 28
Date: 9/17/1997
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
