Henry C. Mcdonald
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 Clarence Mcdonald was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1970. Henry had worked at 5 firms and has passed the Series 63, Series 1, Series 4, 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
May 10, 1996 - March 25, 2002
MORGENTHAU & ASSOCIATES, INC.
May 9, 1994 - July 11, 1995
FIRST UNION CAPITAL MARKETS CORP.
February 12, 1974 - May 9, 1994
MORGENTHAU & ASSOCIATES, INC.
July 2, 1973 - September 5, 1975
DUPONT WALSTON, INCORPORATED
July 13, 1972 - February 17, 1974
DUPONT GLORE FORGAN INC
March 9, 1970 - June 30, 1972
APACHE PROGRAMS, 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 1
Date: 5/21/1963
Registered Representative ExaminationF04
Date: 2/13/1974
Financial Principal ExaminationSeries 00
Date: 2/5/1974
General Securities Principal ExaminationCurrent Firm
MORGENTHAU & ASSOCIATES, INC.
CRD#: 6586 / SEC#: , 8-17747
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGENTHAU, ANTHONY REGINALD | DIRECTOR/ CEO / TREAS./CHIEF COMPLIANCE OFFICER | 340142 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 2 |
Red Flags
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