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Henry Donofrio

Some features on this profile are disabled
CRD#: 2707230
HD

Professional summary

Henry Donofrio was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Henry is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Henry had worked at 5 firms, which includes WOODSTOCK FINANCIAL GROUP INC., EMERSON BENNETT & ASSOCIATES, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, FAIRCHILD FINANCIAL GROUP INC., MONROE PARKER SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Harry Donofrio

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 8, 2001 - July 16, 2002

WOODSTOCK FINANCIAL GROUP, INC.

BD
CRD#: 38095
WOODSTOCK, GA
Past

January 12, 2001 - August 15, 2001

EMERSON BENNETT & ASSOCIATES

BD
CRD#: 36171
FT. LAUDERDALE, FL
Past

April 2, 1998 - January 31, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

March 18, 1998 - April 6, 1998

WOODSTOCK FINANCIAL GROUP, INC.

BD
CRD#: 38095
WOODSTOCK, GA
Past

December 22, 1997 - March 17, 1998

FAIRCHILD FINANCIAL GROUP, INC.

BD
CRD#: 21404
NEW YORK, NY
Past

June 3, 1996 - December 23, 1997

MONROE PARKER SECURITIES, INC.

BD
CRD#: 31204
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/11/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/31/1996
General Securities Representative Examination

Current Firm

WF
WOODSTOCK FINANCIAL GROUP, INC.
ASSET MARKETING STRATEGIES,LLC | WOODSTOCK FINANCIAL GROUP, INC. | WINSTON COOPER INC. | WILLIAMS ADVISORY GROUP, LLC | WIENIEWITZ FINANCIAL | VERITAS FINANCIAL GROUP | TOMOLONIS FINANCIAL, LLC | ROOT FINANCIAL SERVICES | ROBERTS WEALTH MANAGEMENT | RETIREMENT SOLUTIONS OF GA | REINHARDT CONSULTING GROUP | RAIKE FINANCIAL GROUP INC. | RAIKE FINANCIAL GROUP | LOTUS POSITIONS, LLC | LAKE WYLIE FINANCIAL, LLC | GLASGOW FINANCIAL SERVICES | FIRST CHOICE FINANCIAL GROUP | FESSLER FINANCIAL GROUP | FESSLER FINANCIAL | F.I.T. FINANCIAL | EDGEWOOD FINANCIAL | DRESSLER FINANCIAL SERVICES, INC. | DRAWDY FINANCIAL SERVICES, LLC | COVENANT WEALTH MANAGEMENT | CORE FINANCIAL | CBG FINANCIAL INC. | BRUCKNER FINANCIAL GROUP | BRANCA FINANCIAL GROUP | BOND FINANCIAL SERVICES

CRD#: 38095 / SEC#: 801-65881, 8-48080

BD
Terminated by SEC on 02/10/2020
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Contact information

Main Address
117 Towne Lake Parkway Suite 200, Woodstock, GA 30188
Mailing Address
Phone number
Established
Georgia since 04/28/2009
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A - MARCH 29, 2018 (3/30/2018)

Direct owners and executive officers

NamePositionCRD#
WOODSTOCK HOLDINGS INCHOLDING COMPANY
BRANCA, ANTHONY DOUGLASCHIEF COMPLIANCE OFFICER OF BD1178639
BRANCA, ANTHONY DOUGLASCHIEF OPERATING OFFICER1178639
RAIKE, WILLIAM JASPER IIICHIEF COMPLIANCE OFFICER - RIA1502298
RAIKE, WILLIAM JASPER IIIPRESIDENT / CEO1502298
RAIKE, WILLIAM JASPER IIIROSFP1502298
WHITLEY, MELISSA LYNNCHIEF FINANCIAL OFFICER / FINOP2615710

Disclosures

Regulatory Event6
Arbitration7

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

WOODSTOCK FINANCIAL GROUP, INC.

CRD#: 38095

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