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RH

Richard W. Henderson

UHLMANN PRICE SECURITIES
Skokie, IL 60077
Some features on this profile are disabled
CRD#: 1335351
RH

Professional summary

Richard Warren Henderson is a registered financial professional currently at UHLMANN PRICE SECURITIES, LLC located in Skokie, Illinois.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 55, Series 3, Series 7, Series 8 and Series 24 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) - BD

Click below to view Richard Warren Henderson's CRS (Customer Relationship Summary).
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

February 8, 2024 - Present

UHLMANN PRICE SECURITIES, LLC

Office #1: 5202 Old Orchard Road Suite 250, Skokie, IL 60077
BD
CRD#: 42854
Skokie, IL
Past

August 11, 2016 - January 23, 2018

DREXEL HAMILTON, LLC

BD
CRD#: 143570
Nashville, TN
Past

July 15, 2016 - August 5, 2016

TRIBAL CAPITAL MARKETS, LLC

BD
CRD#: 38901
ORLANDO, FL
Past

April 26, 2016 - July 20, 2016

BONWICK CAPITAL PARTNERS, LLC

BD
CRD#: 156469
NEW YORK, NY
Past

August 30, 2001 - November 18, 2015

AVONDALE PARTNERS, LLC

BD
CRD#: 46838
NASHVILLE, TN
Past

January 18, 1991 - August 24, 2001

TRUIST SECURITIES, INC.

BD
CRD#: 6271
ATLANTA, GA
Past

April 20, 1990 - December 4, 1990

J.C. BRADFORD & CO.

BD
CRD#: 1287
NEW YORK, NY
Past

March 26, 1987 - December 31, 1988

HAMBRECHT & QUIST LLC

BD
CRD#: 940
Past

January 23, 1985 - February 27, 1987

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(2/13/2024)
RR
Florida
(2/9/2024)
RR
Illinois
(2/26/2024)
RR
Tennessee
(2/13/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/12/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/7/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/7/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/12/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 5/29/1985
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/19/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 5/4/1998
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 24
Date: 3/25/1995
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

UP
UHLMANN PRICE SECURITIES, LLC
UHLMANN INVESTMENTS, LLC | UHLMANN PRICE SECURITIES, LLC

CRD#: 42854 / SEC#: , 8-50041

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
5202 Old Orchard Road Suite 250, Skokie, IL 60077
Mailing Address
5202 Old Orchard Road Suite 250, Skokie, IL 60077
Phone number
(847) 305-2037
Established
Illinois since 02/19/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
UPS HOLDINGS, LLCOWNER
BAER, JAMES DANAPRESIDENT/FINOP9936
JBAK, LLCOWNER
KELLY, CINDY MARIECHIEF OPERATING OFFICER3270586
KELLY, CINDY MARIECCO3270586
KONN, ALAN ROBERTMANAGING MEMBER1406973

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

UHLMANN PRICE SECURITIES, LLC

CRD#: 42854Skokie, IL 60077

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