Kevin T. 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.
Kevin Thomas Henry was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1985. Kevin had worked at 8 firms and has passed the Series 63, Series 55, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2009 - April 10, 2012
NOBLE CAPITAL MARKETS, INC.
May 2, 2008 - September 16, 2009
CAPWEALTH INVESTMENT SERVICES, LLC
February 21, 2006 - April 11, 2008
THE RIDERWOOD GROUP INCORPORATED
July 11, 2005 - January 18, 2006
TRADITION SECURITIES AND DERIVATIVES LLC
April 25, 1991 - April 29, 2005
UBS CAPITAL MARKETS L.P.
December 13, 1990 - April 8, 1991
LEHMAN BROTHERS INC.
October 1, 1990 - October 5, 1990
FERRIS, BAKER WATTS, LLC
December 20, 1985 - August 14, 1986
FORESTERS FINANCIAL SERVICES, 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
Exams
Series 55
Date: 11/17/1998
Limited Representative-Equity Trader ExamCurrent Firm
NOBLE CAPITAL MARKETS, INC.
CRD#: 15768 / SEC#: , 8-32706
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 11 |
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.
