Stuart J. Hendel
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.
Stuart J Hendel, who also goes by Stu Hendel, Stuart Jay Hendel, was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1991. Stuart had worked at 5 firms and has passed the Series 63, Series 7, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2011 - June 3, 2014
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
June 9, 2011 - June 3, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 2009 - March 28, 2011
UBS SECURITIES LLC
March 19, 2007 - September 4, 2009
MORGAN STANLEY & CO. LLC
March 28, 1996 - June 23, 2004
PRIME DEALER SERVICES CORP.
January 3, 1991 - May 14, 2004
MORGAN STANLEY & CO. LLC
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
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD#: 16139 / SEC#: , 8-33359
Contact information
Documents
Disclosures
| Regulatory Event | 55 |
| Arbitration | 1 |
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.
