Neil E. Henry
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.
Neil Edwin Henry was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1987. Neil had worked at 7 firms and has passed the Series 63, SIE, Series 6 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
July 1, 2014 - December 31, 2016
THE LEADERS GROUP, INC.
February 18, 2014 - July 2, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 2, 2004 - February 15, 2005
NATCITY INVESTMENTS, INC.
May 25, 1995 - May 24, 1996
METLIFE INVESTORS DISTRIBUTION COMPANY
July 7, 1992 - December 31, 1994
AMERICAN CAPITAL MARKETING, INC.
October 27, 1991 - March 4, 1992
AEGON USA SECURITIES INC.
November 24, 1987 - October 7, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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