Henry Lohwasser
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 Lohwasser was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1987. Henry had worked at 3 firms and has passed the Series 66, Series 65, 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
June 29, 2007 - August 7, 2013
INVESTORS CAPITAL CORP.
May 24, 2006 - August 7, 2013
INVESTORS CAPITAL CORP.
April 13, 1988 - February 2, 2005
OPPENHEIMER & CO. INC.
October 20, 1987 - April 13, 1988
FAHNESTOCK INTERNATIONAL 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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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.
