Henry J. Henkel
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 Joseph Henkel was a registered financial advisor .
Henry is a previously registered financial advisor and started their career in finance in 1998. Henry had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2015 - September 20, 2016
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
January 24, 2011 - April 23, 2014
MSI FINANCIAL SERVICES, INC.
July 24, 2008 - December 10, 2009
TRANSAMERICA INVESTORS SECURITIES, LLC
January 2, 2006 - August 29, 2007
CAVANAL HILL INVESTMENT MANAGEMENT, INC.
September 13, 2002 - September 8, 2004
BNY MELLON SECURITIES CORPORATION
June 9, 2000 - March 12, 2001
CORNERSTONE INSTITUTIONAL INVESTORS, INC.
April 6, 1998 - June 7, 2000
METROPOLITAN LIFE INSURANCE COMPANY
April 6, 1998 - June 7, 2000
MSI FINANCIAL SERVICES, 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
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
