Frank H. Henjes
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.
Frank Herman Henjes JR was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1971. Frank had worked at 5 firms and has passed the Series 63, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 1991 - December 23, 1993
LAIDLAW GLOBAL SECURITIES, INC.
January 17, 1990 - May 3, 1990
L. F. ROTHSCHILD & CO. INCORPORATED
November 10, 1987 - June 7, 1989
DISCOUNT CORPORATION OF NEW YORK MUNICIPALS
May 24, 1976 - January 30, 1988
FRANK HENJES & COMPANY, INC.
September 8, 1971 - June 4, 1976
LEGG MASON WOOD WALKER, INCORPORATED
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
F04
Date: 5/17/1976
Financial Principal ExaminationSeries 40
Date: 5/13/1976
Registered Principal ExaminationCurrent Firm
LAIDLAW GLOBAL SECURITIES, INC.
CRD#: 19018 / SEC#: , 8-37024
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
