Leonard A. Hendrickson
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.
Leonard Andrew Hendrickson, who also goes by Drew Hendrickson, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1991. Leonard had worked at 5 firms and has passed the Series 63, SIE, Series 55 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
April 14, 2014 - February 25, 2015
PANMURE LIBERUM INC
June 1, 2006 - July 17, 2009
INSTINET, LLC
January 25, 2006 - June 1, 2006
INSTINET, LLC
November 16, 1994 - June 22, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 25, 1991 - September 6, 1994
FAM DISTRIBUTORS, 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
Series 55
Date: 12/1/1998
Limited Representative-Equity Trader ExamCurrent Firm
PANMURE LIBERUM INC
CRD#: 148135 / SEC#: , 8-67976
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PANMURE LIBERUM CAPITAL LIMITED | SOLE OWNER | |
| PLANT, JULIAN HUGH BENEDICT | CHIEF EXECUTIVE OFFICER | 1848356 |
| RICCI, RICHARD THOMAS | DIRECTOR | 2575976 |
| VIGLIAROLO, JOSEPH CHARLES | FINOP, CFO, PFO, TREASURER | 4880434 |
| WAGNER, ALAN PHILIP | PRINCIPAL OPERATIONS OFFICER | 3095126 |
| WAGNER, ALAN PHILIP | RESEARCH PRINCIPAL | 3095126 |
| WAGNER, ALAN PHILIP | OPERATIONS MANAGER & CHIEF COMPLIANCE OFFICER | 3095126 |
Red Flags
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