Henry J. Gourdeau
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.
Henry Joseph Gourdeau II, who also goes by Henry Joseph Gourdeau, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1994. Henry had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7 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
March 7, 2014 - March 5, 2020
KEPLER CAPITAL MARKETS, INC.
March 25, 2011 - April 23, 2013
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
August 3, 2005 - June 12, 2006
UPHOLD SECURITIES INC.
November 18, 2003 - June 30, 2005
BMO CAPITAL MARKETS CORP.
May 3, 2001 - October 11, 2001
H.C.WAINWRIGHT & CO., LLC
July 24, 1996 - May 19, 1999
LEHMAN BROTHERS INC.
June 21, 1994 - May 31, 1996
S.G. WARBURG & CO. 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 55
Date: 4/4/2011
Limited Representative-Equity Trader ExamCurrent Firm
KEPLER CAPITAL MARKETS, INC.
CRD#: 139148 / SEC#: , 8-67194
Contact information
FINRA licenses (42 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
