Roy M. 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.
Roy Monroe Henry was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1970. Roy had worked at 8 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 1993 - April 25, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 24, 1985 - February 24, 2000
FFP SECURITIES, INC.
April 29, 1980 - May 23, 1986
FIRST AFFILIATED SECURITIES, INC.
January 16, 1979 - June 30, 1980
FSC SECURITIES CORPORATION
November 9, 1976 - October 19, 1978
INDEPENDENT FINANCIAL PLANNERS CORPORATION
May 3, 1976 - July 3, 1976
GENERAL AMERICAN LIFE INSURANCE COMPANY
May 15, 1974 - January 26, 1976
WASHINGTON NATIONAL EQUITY COMPANY
November 28, 1972 - July 4, 1974
GENERAL AMERICAN LIFE INSURANCE COMPANY
April 10, 1970 - October 14, 1972
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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: 3/28/1970
Registered Representative ExaminationCurrent Firm
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
CRD#: 2580 / SEC#: , 8-13034
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN NATIONAL CORPORATION | HOLDING COMPANY | |
| CRAWFORD, FREDRICK JOHN | CHIEF FINANCIAL OFFICER, DIRECTOR | 4443207 |
| FREDERICK, CHRISTINE SPENCER | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2641636 |
| GLASS, DENNIS R | PRESIDENT, DIRECTOR | 2897098 |
| KONEN, MARK E | DIRECTOR | 5150090 |
| QUEK, SEE YENG | DIRECTOR | 1938493 |
| RYAN, KEITH JAMES | VICE PRESIDENT AND DIRECTOR | 2709700 |
Disclosures
| Regulatory Event | 14 |
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.
