Henry J. Abbott
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 Abbott, who also goes by Hank Abbott, Henry J Abbott, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1996. Henry had worked at 2 firms and has passed the Series 63, Series 99TO, SIE, 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
September 15, 1998 - November 23, 2021
COMMONWEALTH CAPITAL SECURITIES CORP.
November 15, 1996 - April 2, 1997
WESTWOOD CAPITAL, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
COMMONWEALTH CAPITAL SECURITIES CORP.
CRD#: 39979 / SEC#: , 8-48915
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HJA TRUST | OWNER, COMMONWEALTH CAPITAL SECURITIES CORP. | |
| ABBOTT, HENRY JOSEPH | CHAIRMAN, CEO, PRESIDENT, NON-OWNER | 2676347 |
| DOSTER, BRIAN R | DIRECTOR, TRUSTEE OF HJA TRUST, GENERAL COUNSEL, NON-OWNER | 6764205 |
| PRUETT, JAMES TRAVIS | DIRECTOR, SENIOR VICE PRESIDENT, ANTI-MONEY LAUNDERING COMPLIANCE OFFICER, CHIEF COMPLIANCE OFFICER, NON-OWNER | 4849769 |
Red Flags
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