Jan D. Henderson
Professional summary
Jan David Henderson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jan is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Jan had worked at 6 firms, which includes WORLD GROUP SECURITIES INC., MM ASCEND LIFE INVESTOR SERVICES LLC, STUART SECURITIES CORP., UNITED HERITAGE FINANCIAL SERVICES INC., VOYA FINANCIAL ADVISORS INC., WMA SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 2008 - July 16, 2009
WORLD GROUP SECURITIES, INC.
December 4, 2006 - December 21, 2007
MM ASCEND LIFE INVESTOR SERVICES, LLC
October 31, 2005 - December 4, 2006
STUART SECURITIES CORP.
June 1, 2005 - October 19, 2005
UNITED HERITAGE FINANCIAL SERVICES, INC.
August 27, 1997 - May 20, 2005
VOYA FINANCIAL ADVISORS, INC.
June 2, 1994 - August 11, 1997
WMA SECURITIES, 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
Current Firm
WORLD GROUP SECURITIES, INC.
CRD#: 114473 / SEC#: , 8-53428
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEGON ASSET MANAGEMENT SERVICES, INC. | SHAREHOLDER | |
| BOUDOURIS, JAMES PETER | MUNICIPAL SECURITIES PRINCIPAL | 2050302 |
| CARPENTER, TODD ANDREW | CHIEF SUPERVISORY OFFICER | 3125437 |
| DAVIES, SUSAN E. | DIRECTOR | 4718249 |
| DODSON, PATTY JEAN | ASSISTANT VICE PRESIDENT | 1925182 |
| JOSEPH, JOHN WARREN | CHIEF MARKETING OFFICER | 4494872 |
| LINDER, JACK DARRELL | DIRECTOR | 1015860 |
| MILLER, SETH DAVID | PRESIDENT | 5628646 |
| MINECK, PAUL D. | DIRECTOR | 4528075 |
| MOATE, NANCY ANN | VICE PRESIDENT/TREASURER/CHIEF FINANCIAL OFFICER | 2422381 |
| MURSHEDI, AEYSHA K | VICE PRESIDENT & CHIEF OPERATIONS OFFICER | 2530869 |
| TRIVERS, DAN SHANE | VICE-PRESIDENT & CHIEF ADMINISTRATIVE OFFICER | 1948553 |
| VERMILLION, DERRICK WADE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, CHIEF AML OFFICER | 3213279 |
Disclosures
| Regulatory Event | 10 |
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.
