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Henry J. Saling

ARBOR RESEARCH & TRADING
Lake Barrington, IL 60010
Some features on this profile are disabled
CRD#: 1532294
HS

Professional summary

Henry Joseph Saling JR., who also goes by Henry Joseph Saling Jr, Henry Joseph Saling, Joe Saling Jr, is a registered financial professional currently at ARBOR RESEARCH & TRADING, LLC located in Lake Barrington, Illinois.

Henry is registered as a RR (Registered Representative) and started their career in finance in 1986. Henry has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9, Series 8 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Henry Joseph Saling Jr | Henry Joseph Saling | Joe Saling Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Henry Joseph Saling JR.'s CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 14, 2007 - Present

ARBOR RESEARCH & TRADING, LLC

Office #1: 22333 Classic Court, Lake Barrington, IL 60010
BD
CRD#: 21313
Lake Barrington, IL
Past

October 14, 2005 - January 26, 2007

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
NEW YORK, NY
Past

May 14, 2003 - August 15, 2005

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

March 13, 1996 - May 30, 2003

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

June 23, 1993 - February 20, 1996

YAMAICHI INTERNATIONAL (AMERICA) INC.

BD
CRD#: 909
NEW YORK, NY
Past

April 10, 1991 - June 16, 1993

LEHMAN GOVERNMENT SECURITIES INC.

BD
CRD#: 19655
Past

April 1, 1991 - June 16, 1993

LEHMAN SPECIAL SECURITIES INC.

BD
CRD#: 7242
Past

March 18, 1991 - June 16, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

June 21, 1988 - March 21, 1991

YAMAICHI INTERNATIONAL (AMERICA) INC.

BD
CRD#: 909
NEW YORK, NY
Past

December 23, 1986 - June 30, 1987

NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

BD
CRD#: 824

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Georgia
(5/12/2023)
RR
Illinois
(2/14/2007)
RR
New York
(2/14/2007)
RR
Oregon
(2/14/2007)
RR
Texas
(2/14/2007)

Exams

State Security Law Exam
RR
Series 63
Date: 11/15/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 5/23/1995
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 24
Date: 7/9/1993
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AR
ARBOR RESEARCH & TRADING, LLC
ARBOR RESEARCH & TRADING, | HART CAPITAL MANAGEMENT | FIXED INCOME PARTNERS, INC. | ARBOR TRADING GROUP, INC. | ARBOR RESEARCH & TRADING, LLC | ARBOR RESEARCH & TRADING, INC.

CRD#: 21313 / SEC#: , 8-38818

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
22333 Classic Court, Lake Barrington, IL 60010
Mailing Address
22333 Classic Court, Lake Barrington, IL 60010
Phone number
(847) 304-1550
Established
Delaware since 06/28/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (19 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ARBOR RESEARCH HOLDINGS, LLCOWNER
HANDLER, FRED DAVID JRCHIEF EXECUTIVE OFFICER & DIRECTOR1278354
LUSTIG, DANIEL JAYEXECUTIVE VICE PRESIDENT1496662
MCELWREATH, EDWARD THOMASEXECUTIVE VICE PRESIDENT1111324
MOISE, MICHAEL PAULPRESIDENT, FINOP & DIRECTOR5910037
MOISE, MICHAEL PAULCHIEF COMPLIANCE OFFICER5910037

Disclosures

Regulatory Event2

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.

Company Information

ARBOR RESEARCH & TRADING, LLC

CRD#: 21313Lake Barrington, IL 60010

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