Henry T. Stella
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 Todd Stella, who also goes by Todd Stella, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1997. Henry had worked at 11 firms and has passed the Series 63, Series 65, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2017 - June 26, 2017
OPPENHEIMER & CO. INC.
March 17, 2017 - June 26, 2017
OPPENHEIMER & CO. INC.
March 9, 2012 - March 22, 2017
U.S. BANCORP ADVISORS, LLC
March 8, 2012 - March 22, 2017
U.S. BANCORP ADVISORS, LLC
February 25, 2011 - February 28, 2012
UBS FINANCIAL SERVICES INC.
February 24, 2011 - February 28, 2012
UBS FINANCIAL SERVICES INC.
August 26, 2008 - February 23, 2011
NEUBERGER BERMAN BD LLC
August 25, 2008 - February 23, 2011
NEUBERGER BERMAN BD LLC
May 5, 2008 - September 23, 2008
INVESTMENT ADVISORS INTERNATIONAL, INC.
April 2, 2008 - September 23, 2008
WORLD GROUP SECURITIES, INC.
April 4, 2006 - December 15, 2007
FINANCIAL MARKETING SPECIALISTS LLC
May 16, 2002 - October 30, 2002
FISHER INVESTMENTS
November 14, 2000 - April 9, 2002
MORGAN STANLEY & CO. LLC
August 26, 1999 - October 25, 2000
PERSHING LLC
January 7, 1997 - May 5, 1997
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR/DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 39,036 |
| AUM (Assets Under Management) | $ 36,710,705,748 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2026 | ||
| 01/24/2025 | ||
| 10/25/2023 |
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.
