Frederick A. Henry
Professional summary
Frederick Allen Henry, who also goes by Fred Henry, is a registered financial professional currently at FIMCO SECURITIES GROUP, INC. located in Port Washington, Wisconsin.
Frederick is registered as a RR (Registered Representative) and started their career in finance in 1985. Frederick has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frederick Allen Henry's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 17, 1992 - Present
FIMCO SECURITIES GROUP, INC.
Office #1: 110 S. Wisconsin St. Unit 2g, Port Washington, WI 53074May 29, 1991 - September 18, 1992
AEGON USA SECURITIES INC.
June 24, 1986 - October 7, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
December 17, 1985 - July 31, 1986
INVESTORS BROKERAGE 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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
FIMCO SECURITIES GROUP, INC.
CRD#: 30343 / SEC#: , 8-44863
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HENRY, FREDERICK ALLEN | PRESIDENT/CHIEF COMPLIANCE OFFICER | 1429664 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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