Henry H. Houston
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 Hopkins Houston III, who also goes by H.h. "kin" Houston, Kin Houston III, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1987. Henry had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2015 - June 27, 2018
NFSG CORPORATION
April 9, 2015 - June 27, 2018
NEWBRIDGE SECURITIES CORPORATION
April 18, 2013 - April 20, 2015
DAWSON JAMES ASSET MANAGEMENT, INC.
March 19, 2013 - April 10, 2015
DAWSON JAMES SECURITIES, INC.
November 18, 2010 - January 2, 2013
WESTPARK CAPITAL, INC.
February 3, 2004 - January 2, 2013
WESTPARK CAPITAL, INC.
November 9, 2000 - February 4, 2004
STERLING FINANCIAL INVESTMENT GROUP, INC.
January 18, 1993 - November 20, 2000
JOSEPH CHARLES & ASSOC., INC.
September 5, 1991 - January 28, 1993
JW GENESIS CLEARING CORP.
March 18, 1991 - September 10, 1991
MAYFAIR SECURITIES LIMITED
July 27, 1990 - March 4, 1991
KOCHCAPITAL
March 27, 1989 - August 2, 1990
G. K. SCOTT & CO., INC.
October 12, 1988 - March 30, 1989
H. T. FLETCHER SECURITIES INCORPORATED
November 10, 1987 - October 18, 1988
BRENNAN ROSS SECURITIES, INC.
Primary Firm SEC Registration
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
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
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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.
