David B. 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.
David Brent Henderson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1971. David had worked at 12 firms and has passed the Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 1998 - September 14, 1999
USALLIANZ SECURITIES, INC.
June 6, 1994 - December 31, 1996
WMA SECURITIES, INC.
September 24, 1992 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 2, 1991 - July 24, 1992
RICHARDS INVESTMENTS
January 30, 1990 - February 27, 1990
ADVANTAGE CAPITAL CORPORATION
August 11, 1989 - February 2, 1990
G.L. LEAVITT FINANCIAL GROUP
December 12, 1988 - February 27, 1990
NORTH AMERICAN MANAGEMENT, INC.
November 15, 1982 - October 24, 1988
PFS INVESTMENTS INC.
April 23, 1980 - July 28, 1982
INTEGRATED RESOURCES EQUITY CORPORATION
February 14, 1979 - May 1, 1980
INDEPENDENT FINANCIAL PLANNERS CORPORATION
February 25, 1977 - August 25, 1977
INDEPENDENT SECURITIES CORPORATION
February 11, 1974 - December 8, 1976
BELL SECURITIES CORPORATION
November 10, 1971 - March 1, 1974
INDEPENDENT SECURITIES CORPORATION
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 1
Date: 11/5/1971
Registered Representative ExaminationCurrent Firm
USALLIANZ SECURITIES, INC.
CRD#: 40875 / SEC#: , 8-49216
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | SHAREHOLDER | |
| HOWELL, RUTH ANNETTE | CHIEF COMPLIANCE OFFICER, COMPLIANCE REGISTERED OPTIONS PRINCIPAL | |
| INGERSOLL, THADDEUS WINTHROP III | COMPLIANCE MANAGER, SENIOR REGISTERED OPTIONS PRINCIPAL | 2616975 |
| JORGENSEN, MICHAEL JAMES | PRESIDENT | 2676329 |
| REITAN, EMILY SUZANNE | CHIEF FINANCIAL OFFICER & TREASURER | 5209812 |
| VITIELLO, VINCENT GERARD | CHAIRMAN OF THE BOARD | 1059845 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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