Dane R. 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.
Dane Raymond Henry, who also goes by Dane Henry, was a registered financial professional .
Dane is a previously registered financial professional and started their career in finance in 1997. Dane had worked at 15 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2009 - December 31, 2011
NEWPORT COAST SECURITIES, INC.
January 30, 2009 - May 6, 2009
NEWBRIDGE SECURITIES CORPORATION
July 25, 2006 - March 3, 2009
EMERALD INVESTMENTS, INC.
October 6, 2004 - July 19, 2006
ANDREW GARRETT INC.
April 14, 2004 - September 30, 2004
NORTH AMERICAN CLEARING, INC.
August 18, 2003 - July 6, 2004
SALOMON GREY FINANCIAL CORPORATION
December 10, 2002 - August 11, 2003
INDIANAPOLIS SECURITIES, INC.
August 16, 2002 - November 13, 2002
MARATHON CAPITAL MARKETS, LLC
May 21, 2001 - May 24, 2001
ALEXANDER, WESCOTT, & CO., INC.
May 21, 2001 - August 16, 2002
BERRY-SHINO SECURITIES, INC.
April 18, 2000 - May 11, 2001
NATIONAL SECURITIES CORPORATION
October 1, 1999 - March 17, 2000
THINKEQUITY LLC
February 7, 1999 - September 27, 1999
CARNEGIE INVESTOR SERVICES INC.
December 22, 1997 - December 22, 1998
CARNEGIE INVESTOR SERVICES INC.
May 29, 1997 - December 18, 1997
MEYERS POLLOCK ROBBINS, INC.
April 24, 1997 - May 21, 1997
CONTINENTAL BROKER-DEALER CORP.
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
Current Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
