Henry S. Canby
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 Sumner Canby, who also goes by Henry Sumner Canby IV, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1994. Henry had worked at 10 firms and has passed the Series 63, Series 55 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
October 18, 2011 - March 11, 2013
GREAT POINT CAPITAL LLC
August 6, 2007 - November 4, 2009
FIS BROKERAGE & SECURITIES SERVICES LLC
June 12, 2007 - August 9, 2007
OFFMAN SECURITIES, LLC
August 20, 2003 - May 31, 2007
FIS BROKERAGE & SECURITIES SERVICES LLC
December 19, 2001 - June 9, 2003
SCHONFELD SECURITIES, LLC
January 18, 2001 - November 27, 2001
RUMSON CAPITAL, LLC
May 31, 2000 - January 16, 2001
PROTRADER SECURITIES L.P.
May 2, 2000 - August 1, 2000
KERSHNER TRADING GROUP, LLC
October 14, 1998 - April 20, 2000
WILLIAM O'NEIL SECURITIES
August 21, 1997 - October 1, 1998
UBS FINANCIAL SERVICES INC.
July 28, 1994 - August 29, 1997
AMERIPRISE ADVISOR SERVICES, 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: 6/13/2000
Limited Representative-Equity Trader ExamCurrent Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
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.
