Daniel A. 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.
Daniel Arthur Henderson, who also goes by Dan Henderson, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1993. Daniel had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 2014 - December 19, 2014
FIDELITY BROKERAGE SERVICES LLC
May 25, 2011 - April 29, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
November 16, 2004 - April 26, 2011
CHASE INVESTMENT SERVICES CORP.
October 20, 2004 - April 26, 2011
CHASE INVESTMENT SERVICES CORP.
August 24, 2001 - September 10, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 24, 2001 - September 10, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 19, 2001 - August 29, 2001
IDS LIFE INSURANCE COMPANY
July 19, 2001 - August 29, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
January 23, 2001 - August 27, 2001
RUSHMORE SECURITIES CORPORATION
August 12, 1998 - February 26, 2001
NORTHSTAR SECURITIES, INC.
May 15, 1996 - December 9, 1998
DOMINION CAPITAL CORPORATION
November 29, 1993 - May 9, 1996
H.J. MEYERS & CO., 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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
