Henry W. Custin
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 Walter Custin, who also goes by Hank Custin, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1986. Henry had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 1993 - April 25, 1994
LEGG MASON WOOD WALKER, INCORPORATED
May 22, 1991 - August 27, 1992
FIRST UNION CAPITAL MARKETS CORP.
December 26, 1986 - May 14, 1991
KIDDER, PEABODY & CO. INCORPORATED
May 20, 1986 - January 8, 1987
WS GRIFFITH 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
Exams
Current Firm
LEGG MASON WOOD WALKER, INCORPORATED
CRD#: 6555 / SEC#: , 8-15939
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP GLOBAL MARKETS HOLDINGS INC. | OWNER | |
| HESSLEIN, LAURIE ANN | DIRECTOR | 1158755 |
| MORRIS, JOHN CHURCHILL | CHIEF OPERATION OFFICER | 734315 |
| MORRIS, JOHN CHURCHILL | DIRECTOR | 734315 |
| PEARL, JONATHAN MARK | SENIOR REGISTERED OPTION PRINCIPAL | 839718 |
| PROCOPIO, ROCCO JR | COMPLIANCE REGISTERED OPTION PRINCIPAL | 2663616 |
| SABELHAUS, ROBERT GREGORY | CHIEF EXECUTIVE OFFICER & PRESIDENT | 408581 |
| VERRON, CLIFF | CHIEF FINANCIAL OFFICER/TREASURER | 4332129 |
| WEAVER, BARBARA LITTLE | CHIEF COMPLIANCE OFFICER | 845541 |
Disclosures
| Regulatory Event | 26 |
| Arbitration | 45 |
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.
