Frank H. Henderson
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.
Frank Herman Henderson JR., who also goes by Frank Herman Henderson II, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1986. Frank had worked at 21 firms and has passed the Series 63 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
August 27, 2007 - November 24, 2008
B. RILEY WEALTH MANAGEMENT
October 5, 2005 - October 1, 2007
NATIONAL SECURITIES CORPORATION
January 31, 2005 - November 3, 2005
VFINANCE INVESTMENTS, INC
December 13, 2002 - February 3, 2005
CAPITAL SECURITIES OF AMERICA, INC.
September 20, 2002 - December 19, 2002
THE MALACHI GROUP, INC.
May 4, 2001 - October 2, 2002
HARVESTONS SECURITIES, INC.
April 3, 2000 - August 25, 2000
VINING-SPARKS IBG, LLC
April 3, 2000 - August 25, 2000
ICBA SECURITIES
August 30, 1999 - October 8, 1999
ARGENT SECURITIES, INC.
December 22, 1997 - April 28, 2000
HARVESTONS SECURITIES, INC.
February 8, 1996 - December 17, 1997
TDI, INCORPORATED
October 12, 1994 - January 12, 1996
UBS FINANCIAL SERVICES INC.
April 29, 1993 - October 25, 1994
HENDERSON SECURITIES, INC.
February 28, 1992 - June 9, 1993
THE TRADING DESK, INC.
October 23, 1991 - March 24, 1992
LLAMA COMPANY
June 21, 1990 - November 1, 1991
THE TRADING DESK, INC.
March 7, 1990 - July 6, 1990
APPLE SECURITIES, INC.
January 30, 1990 - August 9, 1991
DICKINSON & CO.
December 22, 1989 - February 8, 1990
LASALLE ST SECURITIES, L.L.C.
November 6, 1989 - December 16, 1989
SWINK & COMPANY, INC.
July 13, 1988 - December 5, 1989
LEHMAN BROTHERS INC.
May 5, 1987 - July 15, 1988
U.S. ASSOCIATES, INC.
November 21, 1986 - May 14, 1987
RAYMOND JAMES FINANCIAL SERVICES, INC.
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
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
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.
