Henry Tharp
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 Tharp was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1986. Henry had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2006 - April 7, 2015
DORSEY & COMPANY, INC.
April 10, 2001 - April 7, 2015
DORSEY & COMPANY, INC.
July 23, 1986 - December 6, 2000
MORGAN KEEGAN & COMPANY, LLC
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
DORSEY & COMPANY, INC.
CRD#: 1668 / SEC#: 801-35768, 8-7541
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROSPERA FINANCIAL, LLC | OWNER | |
| THOMPSON, RAYMOND ANDREW | PRESIDENT / CEO / CCO | 737094 |
Disclosures
| Regulatory Event | 15 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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