Stephen C. Henriques
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.
Stephen Cohen Henriques was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1992. Stephen had worked at 10 firms and has passed the Series 63, Series 55, Series 7, Series 4, Series 24 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2011 - May 22, 2014
CIBC WORLD MARKETS CORP.
January 14, 2008 - September 19, 2008
OPPENHEIMER & CO. INC.
April 26, 2006 - January 14, 2008
CIBC WORLD MARKETS CORP.
January 26, 2006 - April 27, 2006
GFI SECURITIES LLC
October 2, 2003 - September 2, 2005
J.P. MORGAN SECURITIES LLC
April 18, 2002 - September 12, 2003
CITIGROUP GLOBAL MARKETS INC.
October 31, 2001 - December 5, 2001
CANTOR FITZGERALD & CO.
June 30, 1999 - April 11, 2001
CROWN FINANCIAL GROUP, INC.
March 15, 1996 - May 23, 1997
INVESTEX SECURITIES GROUP, INC.
June 22, 1994 - March 10, 1995
HAPOALIM SECURITIES USA, INC.
November 12, 1992 - May 18, 1993
LEHMAN BROTHERS 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: 1/12/2012
Limited Representative-Equity Trader ExamCurrent Firm
CIBC WORLD MARKETS CORP.
CRD#: 630 / SEC#: , 8-18333
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBC INC. | 100% SHAREHOLDER | |
| CONSOLA, PATRICK D | CHIEF COMPLIANCE OFFICER | 1133831 |
| DUBCZAK, ROMAN STEPAN | DIRECTOR | 5511542 |
| GRIFFITH, MARVIN SCOTT | PRINCIPAL FINANCIAL OFFICER | 1670889 |
| PERRY, ACHILLES M | GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR | 4183476 |
| PRICE, ERIC S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 1985843 |
| TRABOULSI, ALFRED | MANAGING DIRECTOR, HEAD US INVESTMENT BANKING | 6594715 |
| ZELLERMAYER, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1662785 |
Disclosures
| Regulatory Event | 76 |
| Arbitration | 86 |
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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