Henry R. Nothaft
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.
Henry Robert Nothaft was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1987. Henry had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 3, PC and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2014 - December 17, 2015
SAN DIEGO PRIVATE CAPITAL SERVICES, INC.
December 14, 2011 - December 31, 2013
SAN DIEGO PRIVATE CAPITAL SERVICES, INC.
April 19, 2005 - November 3, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 19, 2005 - November 3, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 15, 2001 - April 20, 2005
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - April 20, 2005
WELLS FARGO INVESTMENTS, LLC
December 15, 1997 - May 2, 2001
WELLS FARGO SECURITIES INC.
June 1, 1988 - May 11, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 29, 1987 - June 6, 1988
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 5/2/1977
AMEX Put and Call ExamCurrent Firm
SAN DIEGO PRIVATE CAPITAL SERVICES, INC.
CRD#: 158963 / SEC#:
Contact information
Red Flags
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