Henry W. Juan
Professional summary
Henry Walter Juan III, who also goes by Chip Juan III, is a registered financial professional currently at BA SECURITIES, LLC located in W. Conshohocken, Pennsylvania.
Henry is registered as a RR (Registered Representative) and started their career in finance in 1990. Henry has worked at 10 firms and has passed the Series 63, Series 79TO, Series 72, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Henry Walter Juan III's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 19, 2021 - Present
BA SECURITIES, LLC
Office #1: Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428March 23, 2017 - August 31, 2020
SEABURY SECURITIES LLC
October 13, 2014 - February 27, 2017
YOUNG AMERICA CAPITAL, LLC
March 8, 2011 - February 24, 2014
CYPRESS ASSOCIATES
May 5, 2010 - February 22, 2011
SKYWORKS SECURITIES, LLC
January 29, 2010 - May 4, 2010
SEABURY SECURITIES LLC
August 28, 2008 - January 29, 2010
SEACAP SECURITIES LLC
April 19, 2007 - September 3, 2008
SEABURY SECURITIES LLC
October 24, 2006 - April 19, 2007
SEACAP SECURITIES LLC
April 5, 2001 - October 10, 2006
SEABURY SECURITIES LLC
October 5, 1999 - March 2, 2001
MATRIX U.S.A., LLC
October 17, 1994 - May 18, 1998
CREDIT AGRICOLE SECURITIES (USA) INC.
February 12, 1990 - October 10, 1994
J.P. MORGAN SECURITIES LLC
January 24, 1990 - February 3, 1990
DB ALEX. BROWN 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
(4/17/2023)
(1/19/2021)
(11/10/2025)
(3/10/2022)
(11/12/2021)
(1/19/2021)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationFINRA
Current Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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