Michael Harold Henry | Financial Professional

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.

Michael Harold Henry, who also goes by Mike Henry, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1969. Michael had worked at 15 firms and has passed the SIE, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Mike Henry

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 16, 2019 - December 16, 2019

REALTA INVESTMENT ADVISORS, INC

RIA

CRD#: 134952

WILMINGTON, DE

Past

September 16, 2019 - December 16, 2019

REALTA EQUITIES, INC.

BD

CRD#: 23769

Austin, TX

Past

January 22, 2018 - September 16, 2019

AMERICAN INVESTORS GROUP, INC.

BD

CRD#: 10020

Wimberley, TX

Past

November 10, 2017 - January 10, 2018

CALTON & ASSOCIATES, INC.

BD

CRD#: 20999

Wimberley, TX

Past

January 17, 2017 - November 9, 2017

IMS SECURITIES, INC.

BD

CRD#: 35567

WIMBERLEY, TX

Past

April 16, 2012 - December 31, 2016

AMERICAN INVESTORS GROUP, INC.

BD

CRD#: 10020

WIMBERLEY, TX

Past

May 9, 2005 - August 22, 2013

ONYX WEALTH ADVISORS, INC.

RIA

CRD#: 119558

AUSTIN, TX

Past

May 6, 2005 - April 12, 2012

CAMBRIDGE LEGACY SECURITIES L.L.C.

BD

CRD#: 103722

WIMBERLEY, TX

Past

May 14, 2004 - May 10, 2005

WESTPARK WEALTH ADVISORS, INC.

RIA

CRD#: 130914

HOUSTON, TX

Past

July 12, 2002 - December 31, 2004

IMS SECURITIES, INC.

RIA

CRD#: 35567

AUSTIN, TX

Past

July 8, 2002 - May 9, 2005

IMS SECURITIES, INC.

BD

CRD#: 35567

HOUSTON, TX

Past

January 23, 2001 - July 1, 2002

RUSHMORE SECURITIES CORPORATION

BD

CRD#: 8392

DALLAS, TX

Past

July 30, 1998 - February 27, 2001

NORTHSTAR SECURITIES, INC.

BD

CRD#: 11247

DALLAS, TX

Past

February 12, 1996 - December 9, 1998

DOMINION CAPITAL CORPORATION

BD

CRD#: 18837

DALLAS, TX

Past

September 19, 1986 - February 14, 1996

BLUEBONNET SECURITIES, INC.

BD

CRD#: 15957

Past

July 16, 1979 - August 25, 1986

MARQUETTE FINANCIAL GROUP, INC.

BD

CRD#: 345

Past

March 27, 1972 - August 23, 1979

WADDELL & REED

BD

CRD#: 866

Past

November 25, 1969 - June 27, 1971

ENTERPRISE FUND DISTRIBUTORS, INC.

BD

CRD#: 883

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 1

Date: 11/21/1969

Registered Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 5/5/1987

General Securities Principal Examination

Current Firm

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1201 N. Orange Street Suite 729, Wilmington, DE 19801

Mailing Address

Phone number

(888) 657-5200

Established

Firm type

Fiscal year end

# of Employees

64

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE 3.21.2025 (3/31/2025)

ADV II 3.21.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,958
AUM (Assets Under Management)	$ 343,465,487

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.

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Advisor Monitoring

Firm Stability Insights

Michael H. Henry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REALTA INVESTMENT ADVISORS, INC

REALTA EQUITIES, INC.

AMERICAN INVESTORS GROUP, INC.

CALTON & ASSOCIATES, INC.

IMS SECURITIES, INC.

AMERICAN INVESTORS GROUP, INC.

ONYX WEALTH ADVISORS, INC.

CAMBRIDGE LEGACY SECURITIES L.L.C.

WESTPARK WEALTH ADVISORS, INC.

IMS SECURITIES, INC.

IMS SECURITIES, INC.

RUSHMORE SECURITIES CORPORATION

NORTHSTAR SECURITIES, INC.

DOMINION CAPITAL CORPORATION

BLUEBONNET SECURITIES, INC.

MARQUETTE FINANCIAL GROUP, INC.

WADDELL & REED

ENTERPRISE FUND DISTRIBUTORS, INC.

Primary Firm SEC Registration

REALTA INVESTMENT ADVISORS, INC

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 1

Date: 11/21/1969

Series 24

Date: 5/5/1987

Current Firm

REALTA INVESTMENT ADVISORS, INC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REALTA INVESTMENT ADVISORS, INC

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