Thomas C. 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.
Thomas Christian Henry, who also goes by Thomas C Henry, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1967. Thomas had worked at 5 firms and has passed the Series 63, Series 3 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
February 6, 1985 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, INC.
June 7, 1984 - January 31, 1985
ROONEY, PACE INC.
February 10, 1981 - June 13, 1984
ADAMS, JAMES, ABARR & COMPANY, INC.
September 10, 1975 - January 1, 1980
E. F. HUTTON & COMPANY INC
March 6, 1967 - October 2, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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: 3/3/1967
Registered Representative ExaminationCurrent Firm
FITZGERALD, DEARMAN & ROBERTS, INC.
CRD#: 317 / SEC#: , 8-11768
Contact information
Documents
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.
