Henry R. Belmonte
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 Rosario Belmonte, who also goes by Henry Belmonte, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1997. Henry had worked at 4 firms and has passed the Series 63, Series 65, 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
January 16, 2009 - September 17, 2014
AMERICAN INVESTORS COMPANY
November 21, 2008 - September 17, 2014
AMERICAN INVESTORS COMPANY
February 5, 2004 - November 24, 2008
FIRST MONTAUK SECURITIES CORP.
January 8, 2002 - November 24, 2008
FIRST MONTAUK SECURITIES CORP.
May 1, 2000 - December 31, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 30, 1997 - April 28, 2000
SUTRO & CO. INCORPORATED
Primary Firm SEC Registration
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
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
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
Contact information
SEC notice filing (12 States and Territories)
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,530 |
| AUM (Assets Under Management) | $ 578,062,390 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
