Ramon C. 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.
Ramon Cepeda Henderson, AIF®, who also goes by Ramon Henderson, was a registered financial professional .
Ramon is a previously registered financial professional and started their career in finance in 1996. Ramon had worked at 6 firms and has passed the Series 65, Series 63 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
August 16, 2004 - August 25, 2004
CADARET, GRANT & CO., INC.
April 6, 2001 - April 1, 2013
HEACOCK & JONES FINANCIAL SERVICES, INC.
January 12, 2001 - August 15, 2003
ASSIST INVESTMENT MANAGEMENT COMPANY, INC.
October 12, 2000 - January 11, 2001
PARK AVENUE SECURITIES LLC
January 28, 1998 - March 13, 2000
WALNUT STREET SECURITIES, INC.
September 25, 1996 - January 27, 1998
GUARDIAN INVESTOR SERVICES 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
Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 |
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.
