Mark T. Henderson
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.
Mark Thomas Henderson, who also goes by Mark T Henderson, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2017 - September 14, 2018
FIFTH THIRD SECURITIES, INC.
March 13, 2014 - September 14, 2018
FIFTH THIRD SECURITIES, INC.
February 23, 2010 - March 17, 2014
COUNTRY CAPITAL MANAGEMENT COMPANY
January 29, 2009 - February 22, 2010
ALLSTATE FINANCIAL SERVICES, LLC
April 2, 2007 - February 29, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - February 29, 2008
MORGAN STANLEY & CO. LLC
July 22, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
July 22, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
June 30, 2003 - July 27, 2005
AMERIPRISE ADVISOR SERVICES, INC.
March 11, 2003 - July 10, 2003
CHOREO, LLC
March 16, 1994 - July 27, 2005
AMERIPRISE ADVISOR SERVICES, INC.
July 22, 1993 - February 28, 1994
JOSEPH ROBERTS & CO., INC.
February 22, 1993 - August 5, 1993
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
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 8
Date: 12/11/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIFTH THIRD BANK, NATIONAL ASSOCIATION | OWNER | |
| CORSARIE, ROBERT ALBERT | DIRECTOR, HEAD OF RETAIL BROKERAGE | 2213136 |
| JACOBS, JARRETT ANDREW | DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER | 3190249 |
| JOHNSON MOBLEY, SHANNON | DIRECTOR, REGIONAL INVESTMENT MANAGER | 2583704 |
| KELLY, GINGER MICHELLE | DIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL | 2357692 |
| LUDWICK, JAMES PAUL | DIRECTOR, EXECUTIVE DIRECTOR OF INSTITUTIONAL BUSINESS | 4286771 |
| LYONS, TIMOTHY | DIRECTOR, MANAGING DIRECTOR-TRADING | 2544688 |
| MARCUS, ROBERT FRANKLIN | DIRECTOR, HEAD OF CAPITAL MARKETS | 2512810 |
| OVERMANN, JUSTIN MICHAEL | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 4419793 |
| STRATMOEN, CHRISTOPHER SCOTT | DIRECTOR, PRINCIPAL FINANCIAL OFFICER | 5873893 |
Regulatory assets under management
| Total Number of Accounts | 43,067 |
| AUM (Assets Under Management) | $ 9,127,646,064 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 19 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/20/2025 | ||
| 08/26/2024 | ||
| 10/20/2023 |
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.
