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HH

Henry B. Hufnagel

Some features on this profile are disabled
CRD#: 3085096
HH

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 Bernhardt Hufnagel was a registered financial professional .

Henry is a previously registered financial professional and started their career in finance in 1998. Henry had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 9, 2010 - December 31, 2020

NFSG CORPORATION

RIA
CRD#: 130814
CHICAGO, IL
Past

July 7, 2010 - December 31, 2020

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
CHICAGO, IL
Past

June 18, 2009 - July 19, 2010

CHICAGO INVESTMENT GROUP ADVISORS, LLC

RIA
CRD#: 148188
CHICAGO, IL
Past

April 25, 2008 - September 4, 2009

CHICAGO INVESTMENT GROUP, LLC

RIA
CRD#: 11853
CHICAGO, IL
Past

April 25, 2008 - July 19, 2010

CHICAGO INVESTMENT GROUP, LLC

BD
CRD#: 11853
CHICAGO, IL
Past

July 8, 2003 - January 17, 2008

AMERIPRISE ADVISOR SERVICES, INC.

RIA
CRD#: 5979
NORTHBROOK, IL
Past

April 8, 2003 - January 17, 2008

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
NORTHBROOK, IL
Past

January 15, 1999 - December 3, 2002

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
RIVERWOODS, IL
Past

August 20, 1998 - December 3, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.

CRD#: 130814 / SEC#: 801-68448

RIA
Registered Investment Advisory firm - (11/6/2007 Approved)
Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)
California
Registered Investment Advisory firm - (11/8/2007 Terminated)
Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)
Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)
Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)
Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)
Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)
New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)
North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)
Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)
Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)
Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)
Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/14/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/9/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/17/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/9/2001
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/1/2001
General Securities Sales Supervisor - General Module Examination

Current Firm

NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.

CRD#: 130814 / SEC#: 801-68448

RIA
Registered Investment Advisory firm - (11/6/2007 Approved)
Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)
California
Registered Investment Advisory firm - (11/8/2007 Terminated)
Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)
Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)
Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)
Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)
Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)
New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)
North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)
Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)
Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)
Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)
Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)
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Contact information

Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
Phone number
(954) 334-3450
Established
Firm type
Fiscal year end
# of Employees
89

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (4/30/2025)
NFSG WRAP FEE PROGRAM BROCHURE (4/30/2025)

Regulatory assets under management

Total Number of Accounts3,587
AUM (Assets Under Management)$ 813,494,847

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.

Company Information

NFSG CORPORATION

CRD#: 130814

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