Phyllis A. Henderson
Professional summary
Phyllis Anne Henderson, who also goes by Phylis Henderson Barter, Phyllis Barter, Phyllis Barter, Phyllis Henderson, Phyllis Henderson Barter, is a registered financial professional currently at THINKEQUITY LLC located in Melville, New York.
Phyllis is registered as a RR (Registered Representative) and started their career in finance in 1985. Phyllis has worked at 14 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Phyllis Anne Henderson's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 11, 2009 - Present
THINKEQUITY LLC
Office #1: 538 Broadhollow Road Suite 223, Melville, NY 11747February 4, 2008 - June 2, 2009
WILMINGTON CAPITAL SECURITIES, LLC
August 29, 2005 - February 4, 2008
THINKEQUITY LLC
September 23, 2002 - January 13, 2004
EMERALD BAY CAPITAL MANAGEMENT, LLC
March 22, 2002 - August 30, 2002
AEGIS CAPITAL CORP.
November 6, 2000 - March 15, 2002
LACONIA CAPITAL CORPORATION
January 2, 2000 - June 15, 2000
THE THERMOPYLAE GROUP, INC.
May 6, 1996 - December 22, 1999
THINKEQUITY LLC
April 6, 1990 - May 11, 1992
N.I.S.E. BROKERAGE INCORPORATED
January 9, 1989 - February 21, 1995
BERKELEY SECURITIES CORPORATION
October 13, 1988 - August 24, 1989
CHAPDELAINE SECURITIES, INC.
June 9, 1988 - September 21, 1988
COLEMAN & COMPANY SECURITIES, INC.
December 23, 1987 - February 2, 1988
R.C. STAMM & CO., INC.
November 20, 1987 - December 14, 1987
GREELEY SECURITIES, INC.
June 23, 1986 - November 23, 1987
HAAS SECURITIES CORPORATION
February 21, 1985 - May 23, 1986
FIRST CHATHAM SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/11/2009)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
THINKEQUITY LLC
CRD#: 20996 / SEC#: , 8-38622
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAIGOBIND, RAMNARAIN JOSEPH JR | CHIEF EXECUTIVE OFFICER, GENERAL PRINCIPAL | 2273469 |
| FORDHAM HOLDING GROUP, INC. | SHAREHOLDER | |
| BAQUET, EDWARD MANUEL | OPTIONS PRINCIPAL | 4986983 |
| BAQUET, WILLIAM | GENERAL PRINCIPAL, PRESIDENT, DIRECTOR, SECRETARY, TREASURER, HEAD OF TRADING, NYSE GP, NYSE GS CHIEF OPERATING OFFICER | 1332676 |
| BOYLE, BRUCE | COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1796066 |
| CHOUDHARY, CHIRAG | HEAD OF EQUITY CAPITAL MARKETS AND INSTITUTIONAL SALES | 4534379 |
| GIORDANO, CHARLES FRANCIS | MANAGING DIRECTOR, GENERAL PRINCIPAL | 2124257 |
| HENDERSON, PHYLLIS ANNE | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, NYSE GP, NYSE GS | 1343053 |
| HILDER, DAVID BRUCE | SUPERVISORY ANALYST, RESEARCH PRINCIPAL | 2178978 |
| KRIM, ALAN MITCHELL | CFO, FINOP, NYSE FI | 2785337 |
| KUMAR, ASHOK | MANAGING DIRECTOR, RESEARCH | 2374960 |
| LORD, ERIC | HEAD OF INVESTMENT BANKING | 5232206 |
| MANCUSO, PETER VINCENT | MANAGING DIRECTOR, EQUITY TRADING, NYSE COMPLIANCE OFFICER, FLOOR SUPERVISOR | 2357435 |
| MANGAN, KEVIN ROBERT | MANAGING DIRECTOR, HEAD OF EQUITY SYNDICATE | 5365766 |
| MOHAMMED, SABRINA JASMINE | FINOP | 7151560 |
| QUARTUCCIO, PHILIP PAUL | MANAGING DIRECTOR, HEAD OF GLOBAL TRADING | 2397864 |
| ROTHBAUM, SCOTT | SUPERVISOR - SALES | 5237026 |
| SINGER, JEFFREY DAVID | HEAD OF DEBT CAPITAL MARKETS | 4829339 |
| SKOP, CRAIG MICHAEL | S-24 SUPERVISOR - CORPORATE ACCESS | 2301924 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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