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Darryl Raynard Henderson

CRD# 2125529·Registered 1991 - 2015
Previously Registered: Being a previously registered professional could mean that Darryl 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.

Professional Summary

Darryl Raynard Henderson, who also goes by Darryl R Henderson, was a registered financial advisor. Darryl was a previously registered financial professional and started their career in finance 1991 - 2015. Darryl had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Darryl R Henderson

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

33 years in the financial services industry

Current & Past Employments

IMS SECURITIES, INC.·CRD# 35567
BD
Evanston, IL
February 11, 2011 - January 6, 2015
B. RILEY WEALTH MANAGEMENT·CRD# 2543
BD
Atlanta, GA
May 25, 2007 - February 2, 2011
NATIONAL SECURITIES CORPORATION·CRD# 7569
BD
Oakbrook Terrace, IL
September 25, 2006 - May 29, 2007
J.P. TURNER & COMPANY, L.L.C.·CRD# 43177
BD
Atlanta, GA
July 14, 2005 - September 27, 2006
CAPITAL SECURITIES OF AMERICA, INC.·CRD# 36405
BD
Hartville, OH
March 12, 2003 - February 3, 2005
THE MALACHI GROUP, INC.·CRD# 42320
BD
Atlanta, GA
October 31, 2002 - December 19, 2002
HARVESTONS SECURITIES, INC.·CRD# 34509
BD
Greenwood Village, CO
January 16, 2002 - October 2, 2002
THE MALACHI GROUP, INC.·CRD# 42320
BD
Atlanta, GA
May 18, 2000 - December 5, 2001
HARVESTONS SECURITIES, INC.·CRD# 34509
BD
Greenwood Village, CO
January 26, 2000 - November 13, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION·CRD# 1398
BD
Denver, CO
October 5, 1999 - January 10, 2000
ARGENT SECURITIES, INC.·CRD# 15297
BD
Atlanta, GA
September 21, 1999 - October 8, 1999
HARVESTONS SECURITIES, INC.·CRD# 34509
BD
Greenwood Village, CO
January 1, 1998 - December 9, 1998
TDI, INCORPORATED·CRD# 30629
BD
Englewood, CO
January 16, 1996 - December 31, 1997
THE TRADING DESK, INC.·CRD# 22908
BD
February 21, 1991 - June 9, 1993

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Current Firm

IS
IMS SECURITIES, INC.

IMS INSURANCE AGENCY OF TEXAS, INC. | IMS SECURITIES, INC.DBA IMS FINANCIAL ADVISORS, INC | IMS SECURITIES, INC. | IMS INSURANCE AGENCY, INC.

CRD#: 35567 / SEC#: 8-46722
BD
Terminated by SEC on 01/29/2018

Contact Information

Established

Texas since 10/04/1993

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
WADSWORTH, JACKIE DIVONOCHIEF EXECUTIVE OFFICER, COMPLIANCE OFFICER2342163
GAMMON, CHRISTOPHER DAVIDCHIEF FINANCIAL OFFICER, VP-OPTIONS2354523
SPEARS, MICHAEL JCHIEF COMPLIANCE OFFICER4501523

Disclosures

Regulatory Event

7

Arbitration

6

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1996About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jan 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 1996About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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