Henry D. Fahman
Professional summary
Henry Dack Fahman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Henry is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Henry had worked at 4 firms, which includes PROVIDENTIAL SECURITIES INC., THE INVESTMENT CENTER INC., A. G. EDWARDS & SONS INC., LIVINGSTON SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 1993 - October 30, 2000
PROVIDENTIAL SECURITIES, INC.
November 7, 1990 - May 11, 1993
THE INVESTMENT CENTER, INC.
August 25, 1989 - October 9, 1990
A. G. EDWARDS & SONS, INC.
May 24, 1989 - August 22, 1989
LIVINGSTON SECURITIES, 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
PROVIDENTIAL SECURITIES, INC.
CRD#: 31189 / SEC#: , 8-45452
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 7 |
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.
