Henry Fan
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 Fan, who also goes by Huaiyu Fan, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1997. Henry had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 27 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
March 30, 2016 - March 29, 2019
LEXINGTON PARK CAPITAL MARKETS, LLC
December 14, 2012 - April 22, 2014
KEEFE, BRUYETTE & WOODS, INC.
April 5, 2010 - September 2, 2011
ROTH CAPITAL PARTNERS, LLC
January 27, 2010 - April 1, 2010
JESUP & LAMONT SECURITIES CORP
July 13, 1998 - March 5, 2008
B. RILEY SECURITIES, INC.
March 28, 1997 - March 6, 1998
HAMILTON SECURITIES CAPITAL MARKETS, 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
Current Firm
LEXINGTON PARK CAPITAL MARKETS, LLC
CRD#: 158815 / SEC#: , 8-68925
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
