Henry E. Osorio
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 Edward Osorio JR was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1998. Henry had worked at 10 firms and has passed the Series 63 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2004 - October 28, 2004
WESTROCK ADVISORS, INC.
January 6, 2004 - June 24, 2004
S.W. BACH & COMPANY
April 29, 2003 - January 21, 2004
CONTINENTAL BROKER-DEALER CORP.
December 21, 2001 - January 16, 2003
EKN FINANCIAL SERVICES INC.
November 28, 2001 - December 21, 2001
EHRENKRANTZ KING NUSSBAUM
June 18, 2001 - December 4, 2001
KSH INVESTMENT GROUP, INC.
January 5, 2001 - June 12, 2001
HARRISON SECURITIES, INC.
November 3, 2000 - December 31, 2000
WHITEHALL WELLINGTON INVESTMENTS, INC.
December 3, 1999 - September 7, 2000
M.S. FARRELL & COMPANY, INC.
September 29, 1999 - November 15, 1999
WHITEHALL WELLINGTON INVESTMENTS, INC.
July 26, 1999 - September 10, 1999
M.S. FARRELL & COMPANY, INC.
October 29, 1998 - July 13, 1999
WHITEHALL WELLINGTON INVESTMENTS, INC.
August 27, 1998 - November 19, 1998
LADENBURG CAPITAL MANAGEMENT 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
Series 62
Date: 5/6/1998
Corporate Securities Limited Representative ExaminationCurrent Firm
WESTROCK ADVISORS, INC.
CRD#: 114338 / SEC#: , 8-53419
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
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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