Henry A. Hale
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.
Henry Arnold Hale was a registered financial advisor .
Henry is a previously registered financial advisor and started their career in finance in 1972. Henry had worked at 6 firms and has passed the Series 65, Series 63, Series 55, Series 5, Series 1, Series 4, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2007 - December 16, 2013
CAPITOL SECURITIES MANAGEMENT, INC.
September 20, 2007 - December 16, 2013
CAPITOL SECURITIES MANAGEMENT, INC.
May 10, 2004 - November 14, 2007
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
September 26, 1990 - November 14, 2007
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
October 23, 1986 - November 3, 1988
HALE SECURITIES GROUP, INC.
November 17, 1983 - February 6, 1984
INTERSOUTH SECURITIES CORPORATION
January 23, 1974 - March 4, 1985
NATIONSBANC SECURITIES OF GEORGIA, INC.
March 27, 1972 - April 29, 1974
BLYTH EASTMAN DILLON & CO. INCORPORATED
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
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: 11/8/1999
Limited Representative-Equity Trader ExamSeries 5
Date: 8/28/1984
Interest Rate Options ExaminationSeries 1
Date: 3/22/1972
Registered Representative ExaminationF04
Date: 9/11/1974
Financial Principal ExaminationSeries 00
Date: 9/11/1974
General Securities Principal ExaminationCurrent Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
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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