GH
Gary K. Henman
VANGUARD MARKETING
CHARLOTTE, NC 28262
Some features on this profile are disabled
CRD#: 1537824
GH
Professional summary
Gary Keith Henman, who also goes by Gary Henman, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Charlotte, North Carolina.
Gary is registered as a RR (Registered Representative) and started their career in finance in 1986. Gary has worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Gary Henman
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.
EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: HENMAN REALTY LLC INVESTMENT RELATED ADDRESS (CITY/STATE): BROOKLYN, NY NATURE OF BUSINESS: RENTAL PROPERTY POSITION: OWNER START DATE: 9/2024 APPROX. HOURS/MONTH: 5 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PART OWNER, NO OPERATIONAL RESPONSIBILITIES
CRS (Client Relationship Summary) - BD
Click below to view Gary Keith Henman'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®
NoneExperience
Current
September 26, 2013 - Present
VANGUARD MARKETING CORPORATION
Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262BD
CRD#: 7452
CHARLOTTE, NC
Past
December 2, 2019 - December 31, 2024
VANGUARD ADVISERS, INC.
RIA
CRD#: 106715
CHARLOTTE, NC
Past
August 30, 2011 - December 20, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
CHARLOTTE, NC
Past
October 26, 2009 - February 4, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
July 8, 2003 - October 27, 2009
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
TIMONIUM, MD
Past
July 9, 2001 - October 27, 2009
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
TIMONIUM, MD
Past
March 17, 1999 - June 29, 2001
THE CHAPMAN CO.
BD
CRD#: 19178
COLUMBIA, MD
Past
March 6, 1996 - March 5, 1999
CLARKSONS SECURITIES, INC
BD
CRD#: 30882
NEW YORK, NY
Past
February 4, 1994 - May 26, 1995
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
May 9, 1989 - December 3, 1993
YORK SECURITIES, INC.
BD
CRD#: 8056
NEW YORK, NY
Past
August 16, 1988 - March 20, 1989
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
Past
October 29, 1987 - November 4, 1987
JEROLD SECURITIES & CO., INC.
BD
CRD#: 6594
Past
October 29, 1987 - June 10, 1988
PROFESSIONAL BROKERAGE SERVICES INC.
BD
CRD#: 7998
Past
December 18, 1986 - February 23, 1987
JEROLD SECURITIES & CO., INC.
BD
CRD#: 6594
Past
August 19, 1986 - December 15, 1986
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
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
Alabama(10/7/2015)
RR
Alaska(10/7/2015)
RR
Arizona(10/7/2015)
RR
Arkansas(10/7/2015)
RR
California(10/7/2015)
RR
Colorado(10/7/2015)
RR
Connecticut(10/7/2015)
RR
Delaware(10/7/2015)
RR
District of Columbia(10/7/2015)
RR
Florida(10/7/2015)
RR
Georgia(10/7/2015)
RR
Hawaii(10/7/2015)
RR
Idaho(10/7/2015)
RR
Illinois(10/7/2015)
RR
Indiana(10/7/2015)
RR
Iowa(10/7/2015)
RR
Kansas(10/7/2015)
RR
Kentucky(10/7/2015)
RR
Louisiana(10/7/2015)
RR
Maine(10/7/2015)
RR
Maryland(10/7/2015)
RR
Massachusetts(10/7/2015)
RR
Michigan(10/7/2015)
RR
Minnesota(10/7/2015)
RR
Mississippi(10/7/2015)
RR
Missouri(10/7/2015)
RR
Montana(10/7/2015)
RR
Nebraska(10/7/2015)
RR
Nevada(10/7/2015)
RR
New Hampshire(10/7/2015)
RR
New Jersey(10/7/2015)
RR
New Mexico(10/7/2015)
RR
New York(10/7/2015)
RR
North Carolina(9/26/2013)
RR
North Dakota(10/7/2015)
RR
Ohio(10/8/2015)
RR
Oklahoma(10/7/2015)
RR
Oregon(10/7/2015)
RR
Pennsylvania(10/7/2015)
RR
Puerto Rico(10/7/2015)
RR
Rhode Island(10/7/2015)
RR
South Carolina(10/7/2015)
RR
South Dakota(10/7/2015)
RR
Tennessee(10/7/2015)
RR
Texas(10/7/2015)
RR
Utah(10/7/2015)
RR
Vermont(10/7/2015)
RR
Virgin Islands(10/7/2015)
RR
Virginia(10/7/2015)
RR
Washington(10/7/2015)
RR
West Virginia(10/7/2015)
RR
Wisconsin(10/7/2015)
RR
Wyoming(10/7/2015)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VM
VANGUARD MARKETING CORPORATION
VANGUARD BROKERAGE SERVICES | VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
100 Vanguard Blvd, Malvern, PA 19355
Mailing Address
5951 Luckett Court Suite A1, El Paso, TX 79932-1882
Phone number
(610) 669-1000
Established
Pennsylvania since 04/21/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
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.
