James Henderson
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.
James Henderson, who also goes by James G. Henderson, James Gordon Henderson Jr., James Gordon Henderson, Jay G. Henderson, Jay Gordon Henderson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2007. James had worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, SIE 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 23, 2022 - April 28, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
May 7, 2012 - November 20, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 7, 2012 - November 20, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 28, 2011 - March 28, 2012
MORGAN STANLEY
August 5, 2011 - March 28, 2012
MORGAN STANLEY
June 8, 2007 - December 31, 2009
HENDERSON & HENDERSON PORTFOLIO MANAGEMENT, 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 7TO
Date: 5/21/2022
General Securities Representative ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
