Henry Bloch
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 Bloch was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1990. Henry had worked at 4 firms and has passed the Series 63, SIE 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
January 24, 2017 - February 23, 2017
SPENCER-WINSTON SECURITIES CORPORATION
November 19, 2014 - March 18, 2015
SPENCER-WINSTON SECURITIES CORPORATION
February 7, 2014 - November 19, 2014
EQUITABLE ADVISORS, LLC
February 2, 2011 - January 17, 2014
SPENCER-WINSTON SECURITIES CORPORATION
September 4, 2008 - February 3, 2011
MORGAN KEEGAN & COMPANY, LLC
February 14, 1990 - September 5, 2008
OPPENHEIMER & CO. 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
SPENCER-WINSTON SECURITIES CORPORATION
CRD#: 8300 / SEC#: , 8-24995
Contact information
FINRA licenses (9 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 5 |
Red Flags
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