Henry L. Brenner
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 Lester Brenner was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1971. Henry had worked at 9 firms and has passed the Series 63, PC, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2008 - March 31, 2014
UBS FINANCIAL SERVICES INC.
July 17, 2002 - November 10, 2006
STILLPOINT WEALTH MANAGEMENT, LLC
March 13, 1998 - January 2, 2002
LEGACY SECURITIES CORP.
June 19, 1996 - March 6, 1998
RAYMOND JAMES & ASSOCIATES, INC.
February 4, 1991 - June 7, 1996
UBS FINANCIAL SERVICES INC.
September 25, 1989 - February 14, 1991
LEHMAN BROTHERS INC.
November 12, 1986 - September 12, 1989
BELMONT ASSET MANAGEMENT, INC.
April 12, 1976 - September 27, 1985
BRENNER STEED, INC.
February 4, 1974 - March 23, 1976
FINANCIAL CLEARING & SERVICES CORPORATION
May 19, 1971 - October 12, 1973
F. L. LAWRENCE & COMPANY, INC.
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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
PC
Date: 2/26/1990
AMEX Put and Call ExamSeries 1
Date: 10/28/1969
Registered Representative ExaminationF04
Date: 1/16/1974
Financial Principal ExaminationSeries 00
Date: 3/26/1971
General Securities Principal ExaminationCurrent Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
