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HM

Henry R. Montesino

Some features on this profile are disabled
CRD#: 2375858
HM

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 Robert Montesino, who also goes by Henry Montesino, was a registered financial professional .

Henry is a previously registered financial professional and started their career in finance in 1993. Henry had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Henry Montesino

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 7, 2015 - December 31, 2015

BROKER DEALER FINANCIAL SERVICES CORP.

BD
CRD#: 8073
WEST DES MOINES, IA
Past

November 30, 2012 - February 21, 2013

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
BOTHELL, WA
Past

November 16, 2010 - June 15, 2011

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
BELLEVUE, WA
Past

July 31, 2008 - December 11, 2008

EPLANNING SECURITIES, INC.

BD
CRD#: 46000
BELLEVUE, WA
Past

December 15, 2004 - June 29, 2006

FOCUSPOINT PRIVATE CAPITAL GROUP

BD
CRD#: 122341
NEW YORK, NY
Past

October 23, 2002 - December 31, 2002

CRAIG & ASSOCIATES, INC.

BD
CRD#: 10646
MERCER ISLAND, WA
Past

May 15, 2000 - December 7, 2000

CRAIG & ASSOCIATES, INC.

BD
CRD#: 10646
MERCER ISLAND, WA
Past

January 30, 1997 - June 4, 1998

PACIFIC WEST SECURITIES, INC.

BD
CRD#: 6390
RENTON, WA
Past

August 18, 1993 - February 7, 1995

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/3/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/27/1993
General Securities Representative Examination

Current Firm

BD
BROKER DEALER FINANCIAL SERVICES CORP.
BANKERS FINANCIAL SERVICES CORP. | INVESTCENTRAL | D. K. THIELEKE SECURITIES, INC. | BROKER DEALER FINANCIAL SERVICES CORP. | BROKER DEALER FINANCIAL & INSURANCE SERVICES CORP. | BDF INVESTMENTS AND IBA SECURITIES

CRD#: 8073 / SEC#: , 8-24220

BD
Terminated by SEC on 02/07/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Iowa since 09/14/1979
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BDFSC HOLDINGS CORP.OWNER
SHERWOOD, ROBERT DONALDCFO/TREASURER6699856
SHERZAN, MICHAEL THOMASCHAIRMAN / CHIEF COMPLIANCE OFFICER860793

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

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

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