Cynthia J. Henry
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.
Cynthia Jean Henry, who also goes by Cynthia Jean Benesh, Jeannie Henry, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1992. Cynthia had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2016 - January 24, 2020
NATIONWIDE INVESTMENT ADVISORS, LLC
March 28, 2013 - January 24, 2020
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 22, 2006 - March 11, 2013
NATIONAL PLANNING CORPORATION
October 17, 2005 - August 18, 2006
VALIC FINANCIAL ADVISORS, INC.
October 17, 2005 - August 18, 2006
VALIC FINANCIAL ADVISORS, INC.
July 7, 2004 - June 1, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
July 7, 2004 - June 1, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
December 2, 1999 - July 2, 2004
NATIONAL PLANNING CORPORATION
October 9, 1997 - December 16, 1999
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 1, 1997 - October 6, 1997
CRESTAR SECURITIES CORPORATION
April 15, 1992 - January 1, 1997
CITIZENS BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
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
Current Firm
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 270,365 |
| AUM (Assets Under Management) | $ 15,686,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 01/26/2024 | ||
| 10/26/2022 |
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.
