Henry R. Spivey
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 Russell Spivey JR, who also goes by Henry Russ Spivey Jr, Henry Russell Spivey, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1985. Henry had worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2007 - June 2, 2014
FLAGLER TRUST, LLC
July 11, 2003 - February 25, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 12, 1987 - March 31, 1988
PRUDENTIAL EQUITY GROUP, LLC
July 23, 1985 - February 25, 1987
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FLAGLER TRUST, LLC
CRD#: 134248 / SEC#:
Contact information
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.
