David L. Henry
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 Lowell Henry was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1973. David had worked at 6 firms and has passed the Series 63, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2011 - August 12, 2013
FORESTERS EQUITY SERVICES, INC.
July 3, 2007 - December 31, 2010
THE O.N. EQUITY SALES COMPANY
December 1, 2006 - July 12, 2007
QUESTAR CAPITAL CORPORATION
April 11, 2006 - December 1, 2006
USALLIANZ SECURITIES, INC.
July 27, 2004 - December 8, 2005
USALLIANZ SECURITIES, INC.
April 11, 1983 - July 2, 2004
METROPOLITAN LIFE INSURANCE COMPANY
April 11, 1983 - July 2, 2004
MSI FINANCIAL SERVICES, INC.
September 6, 1973 - January 17, 1980
METROPOLITAN LIFE INSURANCE COMPANY
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: 8/30/1973
Registered Representative ExaminationCurrent Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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