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Henri B. Fink

Some features on this profile are disabled
CRD#: 3273122
HF

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.

Henri Bernard Fink was a registered financial professional .

Henri is a previously registered financial professional and started their career in finance in 1999. Henri had worked at 2 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 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

April 24, 2020 - February 15, 2021

OMEGA POINT SECURITIES LLC

BD
CRD#: 168935
New York, NY
Past

September 27, 1999 - May 24, 2018

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

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
RR
Series 63
Date: 8/21/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/24/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/15/2000
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/15/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 5/7/2012
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/12/2012
General Securities Sales Supervisor - Options Module Examination

Current Firm

OP
OMEGA POINT SECURITIES LLC
EXCEED SECURITIES LLC | OMEGA POINT SECURITIES LLC | NEBARI SECURITIES, LLC

CRD#: 168935 / SEC#: , 8-69344

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
3455 Peachtree Road Ne Suite 500, Atlanta, GA 30326
Mailing Address
3455 Peachtree Road Ne Suite 500, Atlanta, GA 30326
Phone number
(404) 596-5393
Established
Delaware since 08/06/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OP ACQUISITION LLCMEMBER
SELF, JONATHAN ANDREWCEO/CCO/FINOP/CFO4497531

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

OMEGA POINT SECURITIES LLC

CRD#: 168935

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