Henry D. Herminghaus
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 Donald Herminghaus, who also goes by Henry Herminghaus, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1986. Henry had worked at 7 firms and has passed the Series 63, Series 7 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
April 2, 1992 - August 17, 1992
CAPITAL SHARES INC.
February 14, 1991 - February 18, 1992
CORTLANDT CAPITAL CORPORATION
January 5, 1990 - June 20, 1990
BRANDON SECURITIES & INVESTMENTS, INC.
September 20, 1989 - October 14, 1989
TUCKER ANTHONY INCORPORATED
March 13, 1989 - September 18, 1989
JONATHAN ALAN & CO., INC.
September 19, 1988 - December 19, 1988
A. G. EDWARDS & SONS, INC.
June 26, 1986 - September 16, 1988
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL SHARES INC.
CRD#: 5448 / SEC#: , 8-16157
Contact information
Documents
Red Flags
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