Hank M. Werner

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CRD#: 1615495

Professional summary

Hank Mark Werner was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Hank is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Hank had worked at 12 firms, which includes LEGEND SECURITIES INC., LIBERTY PARTNERS FINANCIAL SERVICES LLC, BROOKSTONE SECURITIES INC., ALEXANDER CAPITAL L.P., NATIONAL SECURITIES CORPORATION, EMPIRE FINANCIAL GROUP INC., FIRST MONTAUK SECURITIES CORP., AMERICAN INVESTMENT SERVICES INC., ROBERT THOMAS SECURITIES INC, PRUDENTIAL EQUITY GROUP LLC, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Henry Werner

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 11, 2012 - March 9, 2016

LEGEND SECURITIES, INC.

CRD#: 44952

NEW YORK, NY

Past

July 6, 2012 - December 11, 2012

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

CRD#: 130390

RALEIGH, NC

Past

March 3, 2011 - June 21, 2012

BROOKSTONE SECURITIES, INC.

CRD#: 13366

NORTHPORT, NY

Past

November 11, 2009 - March 21, 2011

ALEXANDER CAPITAL, L.P.

CRD#: 40077

RED BANK, NJ

Past

January 5, 2007 - October 15, 2009

NATIONAL SECURITIES CORPORATION

CRD#: 7569

NORTHPORT, NY

Past

December 3, 2004 - January 3, 2007

EMPIRE FINANCIAL GROUP, INC.

CRD#: 28759

NORTHPORT, NY

Past

February 22, 2002 - December 6, 2004

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

April 14, 1994 - March 22, 2002

AMERICAN INVESTMENT SERVICES, INC.

CRD#: 21111

OKLAHOMA CITY, OK

Past

March 16, 1994 - April 26, 1994

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

April 27, 1990 - March 3, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 16, 1989 - May 1, 1990

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 21, 1987 - January 25, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/27/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/3/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/9/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/23/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/17/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/19/1995

General Securities Principal Examination

Current Firm

LEGEND SECURITIES, INC.

LEGEND SECURITIES, INC. | SPC SECURITIES, INC. | MARLIN TRADING, INC.

CRD#: 44952 / SEC#: , 8-50886

Postponed Effective by SEC on 01/19/2017

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 01/29/1998

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
STOCKTRADE NETWORK, INC.	SHARE OWNER

Disclosures

Regulatory Event	22
Arbitration	14

Red Flags

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Advisor Monitoring

Firm Stability Insights

Hank M. Werner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BROOKSTONE SECURITIES, INC.

ALEXANDER CAPITAL, L.P.

NATIONAL SECURITIES CORPORATION

EMPIRE FINANCIAL GROUP, INC.

FIRST MONTAUK SECURITIES CORP.

AMERICAN INVESTMENT SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

PRUDENTIAL EQUITY GROUP, LLC

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/27/1993

Series 63

Date: 2/3/1987

SIE

Date: 3/9/2016

Series 3

Date: 2/23/1987

Series 7

Date: 1/17/1987

Series 24

Date: 4/19/1995

Current Firm

LEGEND SECURITIES, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LEGEND SECURITIES, INC.

TRUST BUT VERIFY

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