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WH

William J. Henderson

Some features on this profile are disabled
CRD#: 1665525
WH

Professional summary

William John Henderson III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, William had worked at 4 firms, which includes QUEST CAPITAL STRATEGIES INC., CHARTER ONE SECURITIES INC., AMERICAN INVESTMENT SERVICES INC., EDWARD JONES.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Henderson Iii | William John Henderson

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

July 8, 2002 - August 14, 2002

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

May 2, 2001 - June 19, 2002

CHARTER ONE SECURITIES, INC.

BD
CRD#: 13373
CLEVELAND, OH
Past

April 20, 2001 - July 27, 2001

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

December 11, 1998 - August 27, 1999

AMERICAN INVESTMENT SERVICES, INC.

BD
CRD#: 21111
OKLAHOMA CITY, OK
Past

November 11, 1998 - December 3, 1998

AMERICAN INVESTMENT SERVICES, INC.

BD
CRD#: 21111
Past

May 15, 1997 - November 5, 1998

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

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
RR
Series 63
Date: 6/16/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/5/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/26/1997
General Securities Principal Examination

Current Firm

QC
QUEST CAPITAL STRATEGIES, INC.
QUEST CAPITAL | QUEST CAPITAL STRATEGIES, INC. | QUEST CAPITAL INVESTMENTS, INC.

CRD#: 16783 / SEC#: 801-77927, 8-34532

BD
Terminated by SEC on 02/22/2020
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Contact information

Main Address
Laguna Hills, CA
Mailing Address
Phone number
Established
California since 03/18/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
TSAI, CAROLYNECEO, CCO, OFFICE MANAGER2272768
TSAI, CAROLYNECFO, FIN OP2272768

Disclosures

Regulatory Event5
Arbitration6

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

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