Henry Fisher
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 Fisher was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1970. Henry had worked at 3 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 1977 - January 4, 2010
COMMONWEALTH SECURITIES AND INVESTMENTS, INC.
April 21, 1975 - March 26, 1977
BABBITT, MYERS & COMPANY, INC.
June 3, 1970 - June 15, 1974
CHAPLIN MCGUINESS & CO
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
Series 1
Date: 2/28/1967
Registered Representative ExaminationSeries 00
Date: 4/28/1969
General Securities Principal ExaminationCurrent Firm
COMMONWEALTH SECURITIES AND INVESTMENTS, INC.
CRD#: 7399 / SEC#: , 8-21563
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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