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HP

Henry Pinkenberg

PHX FINANCIAL
Fort Lauderdale, FL 33301
Some features on this profile are disabled
CRD#: 2375654
HP

Professional summary

Henry Pinkenberg, who also goes by Henry Berg, is a registered financial professional currently at PHX FINANCIAL, INC. located in Fort Lauderdale, Florida.

Henry is registered as a RR (Registered Representative) and started their career in finance in 2008. Henry has worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Henry Berg

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) - BD

Click below to view Henry Pinkenberg's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 9, 2024 - Present

PHX FINANCIAL, INC.

Office #1: 1 East Broward Boulevard, Fort Lauderdale, FL 33301
BD
CRD#: 144403
Fort Lauderdale, FL
Past

June 13, 2024 - June 21, 2024

I-BANKERS SECURITIES, INC.

BD
CRD#: 41352
BOCA RATON, FL
Past

August 20, 2021 - August 31, 2022

SW FINANCIAL

BD
CRD#: 145012
MELVILLE, NY
Past

February 3, 2021 - April 5, 2021

ARIVE CAPITAL MARKETS

BD
CRD#: 8060
Staten Island, NY
Past

February 12, 2019 - December 10, 2019

WORDEN CAPITAL MANAGEMENT LLC

BD
CRD#: 148366
New York, NY
Past

November 7, 2016 - September 26, 2017

SPARTAN CAPITAL SECURITIES, LLC

BD
CRD#: 146251
NEW YORK, NY
Past

June 27, 2016 - September 28, 2016

CHELSEA FINANCIAL SERVICES

BD
CRD#: 47770
Huntington, NY
Past

January 8, 2016 - February 10, 2016

WOODSTOCK FINANCIAL GROUP, INC.

BD
CRD#: 38095
NEW YORK, NY
Past

September 16, 2015 - November 6, 2015

LEGEND SECURITIES, INC.

BD
CRD#: 44952
NEW YORK, NY
Past

June 19, 2012 - August 21, 2015

AEGIS CAPITAL CORP.

BD
CRD#: 15007
NEW YORK, NY
Past

March 8, 2012 - June 21, 2012

OBSIDIAN FINANCIAL GROUP, LLC

BD
CRD#: 104255
NEW YORK, NY
Past

September 23, 2008 - November 8, 2011

BROOKVILLE CAPITAL PARTNERS

BD
CRD#: 102380
UNIONDALE, NY
Past

August 12, 2008 - September 2, 2008

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

January 1, 2008 - May 20, 2008

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(7/9/2024)
RR
Colorado
(7/29/2024)
RR
Connecticut
(10/29/2024)
RR
Florida
(7/29/2024)
RR
Georgia
(10/31/2024)
RR
Indiana
(9/30/2024)
RR
Maryland
(7/31/2024)
RR
Massachusetts
(10/15/2024)
RR
Michigan
(7/25/2024)
RR
Minnesota
(8/27/2025)
RR
New Jersey
(7/30/2024)
RR
New York
(8/4/2024)
RR
North Carolina
(10/30/2024)
RR
Ohio
(7/9/2024)
RR
Pennsylvania
(7/10/2024)
RR
South Carolina
(8/5/2024)
RR
Texas
(10/15/2024)
RR
Utah
(1/31/2025)
RR
Wisconsin
(7/9/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 1/29/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/26/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/26/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PHX FINANCIAL, INC.
BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
100 Wall Street Floor 10, New York, NY 10005
Mailing Address
100 Wall Street Floor 10, New York, NY 10005
Phone number
(212) 776-4187
Established
Florida since 12/27/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LPPARENT OF BROKER DEALER
CHEN, KEVINCEO4871316
GILMAN, ROBERT CRAIGFINOP - PFO1738412
MONTANA, JOSEPH RYANROSFP, MSRB PRINCIPAL5640919
OTOYA, DANIEL ORLANDOCHIEF COMPLIANCE OFFICER2208241

Disclosures

Regulatory Event4
Arbitration2

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

PHX FINANCIAL, INC.

CRD#: 144403Fort Lauderdale, FL 33301

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