Gary K. Henman
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.
Gary Keith Henman, who also goes by Gary Henman, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1986. Gary had worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, 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
December 2, 2019 - December 31, 2024
VANGUARD ADVISERS, INC.
September 26, 2013 - April 23, 2026
VANGUARD MARKETING CORPORATION
August 30, 2011 - December 20, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 26, 2009 - February 4, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
July 8, 2003 - October 27, 2009
AMERIPRISE ADVISOR SERVICES, INC.
July 9, 2001 - October 27, 2009
AMERIPRISE ADVISOR SERVICES, INC.
March 17, 1999 - June 29, 2001
THE CHAPMAN CO.
March 6, 1996 - March 5, 1999
CLARKSONS SECURITIES, INC
February 4, 1994 - May 26, 1995
PFS INVESTMENTS INC.
May 9, 1989 - December 3, 1993
YORK SECURITIES, INC.
August 16, 1988 - March 20, 1989
THOMSON MCKINNON SECURITIES INC.
October 29, 1987 - November 4, 1987
JEROLD SECURITIES & CO., INC.
October 29, 1987 - June 10, 1988
PROFESSIONAL BROKERAGE SERVICES INC.
December 18, 1986 - February 23, 1987
JEROLD SECURITIES & CO., INC.
August 19, 1986 - December 15, 1986
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
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
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
