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DH

David E. Henry

Some features on this profile are disabled
CRD#: 2195980
DH

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.

David Edward Henry, CIMA®, who also goes by David E Henry, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2000. David had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David E Henry

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CIMA®

Certified Investment Management Analyst

Experience

Past

September 8, 2023 - March 11, 2026

ORION PORTFOLIO SOLUTIONS, LLC

RIA
CRD#: 107975
OMAHA, NE
Past

September 7, 2023 - March 11, 2026

BRINKER CAPITAL SECURITIES, LLC

BD
CRD#: 38123
BERWYN, PA
Past

February 6, 2015 - August 22, 2023

CAPITAL CLIENT GROUP, INC.

BD
CRD#: 6247
CARMEL, IN
Past

February 3, 2015 - August 22, 2023

CAPITAL CLIENT GROUP, INC.

RIA
CRD#: 6247
CARMEL, IN
Past

August 24, 2013 - August 26, 2014

MORGAN STANLEY

RIA
CRD#: 149777
NEWPORT BEACH, CA
Past

July 10, 2013 - August 26, 2014

MORGAN STANLEY

BD
CRD#: 149777
NEWPORT BEACH, CA
Past

March 7, 2012 - March 26, 2013

BROOKLINE GROUP, LLC

BD
CRD#: 153587
NEWPORT BEACH, CA
Past

March 24, 2008 - February 16, 2012

ROTH CAPITAL PARTNERS, LLC

BD
CRD#: 15407
NEWPORT BEACH, CA
Past

January 30, 2008 - March 18, 2008

I-BANKERS SECURITIES, INC.

BD
CRD#: 41352
ALISO VIEJO, CA
Past

June 25, 2002 - June 29, 2007

JEFFERIES LLC

BD
CRD#: 2347
LOS ANGELES, CA
Past

July 12, 2000 - May 21, 2002

L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, LLC

BD
CRD#: 14152
IRVINE, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OP
ORION PORTFOLIO SOLUTIONS, LLC
BRINKER CAPITAL INVESTMENTS | ORION PORTFOLIO SOLUTIONS, LLC. | ORION PORTFOLIO SOLUTIONS, LLC | CLS INVESTMENTS, LLC | CLS INVESTMENT FIRM, LLC | CLARKE LANZEN SKALLA INVESTMENT FIRM, LLC | CLARKE LANZEN SKALLA INVESTMENT FIRM INC | BRINKER CAPITAL INVESTMENTS, LLC.

CRD#: 107975 / SEC#: 801-57265

RIA
Registered Investment Advisory firm - (1/1/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/23/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/3/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/11/2000
General Securities Representative Examination

Current Firm

OP
ORION PORTFOLIO SOLUTIONS, LLC
BRINKER CAPITAL INVESTMENTS | ORION PORTFOLIO SOLUTIONS, LLC. | ORION PORTFOLIO SOLUTIONS, LLC | CLS INVESTMENTS, LLC | CLS INVESTMENT FIRM, LLC | CLARKE LANZEN SKALLA INVESTMENT FIRM, LLC | CLARKE LANZEN SKALLA INVESTMENT FIRM INC | BRINKER CAPITAL INVESTMENTS, LLC.

CRD#: 107975 / SEC#: 801-57265

RIA
Registered Investment Advisory firm - (1/1/2000 Approved)
PREMIUM
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Contact information

Main Address
17605 Wright St, Omaha, NE 68130
Mailing Address
2300 Litton Lane Suite 100, Hebron, KY 41048
Phone number
(859) 426-2000
Established
Firm type
Fiscal year end
# of Employees
350

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ORION PORTFOLIO SOLUTIONS, LLC FORM ADV PART 2A (8/11/2025)
ORION PORTFOLIO SOLUTIONS, LLC WRAP FEE BROCHURE (8/11/2025)

Regulatory assets under management

Total Number of Accounts203,878
AUM (Assets Under Management)$ 57,658,151,186

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
07/28/2025
Cover Page
Report
10/21/2024
Cover Page
Report
01/17/2024
Cover Page
Report
10/25/2022
Cover Page
Report

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.

Company Information

ORION PORTFOLIO SOLUTIONS, LLC

CRD#: 107975

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