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HM

Henry J. Miarka

Some features on this profile are disabled
CRD#: 333453
HM

Professional summary

Henry Joseph Miarka JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Henry is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Henry had worked at 6 firms, which includes BROADSTONE SECURITIES, REGIS SECURITIES CORPORATION, HANTZ FINANCIAL SERVICES INC., SICOR SECURITIES INC, IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Henry Joseph Miarka

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

November 19, 2009 - July 22, 2010

BROADSTONE SECURITIES

BD
CRD#: 101600
ALBANY, NY
Past

December 1, 2006 - January 22, 2008

REGIS SECURITIES CORPORATION

BD
CRD#: 103711
SHELBY TOWNSHIP, MI
Past

August 2, 2001 - December 1, 2004

HANTZ FINANCIAL SERVICES, INC.

BD
CRD#: 46047
SOUTHFIELD, MI
Past

July 6, 1998 - October 31, 2000

SICOR SECURITIES INC

BD
CRD#: 16195
DAYTON, OH
Past

January 21, 1991 - July 22, 1996

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

January 21, 1991 - July 22, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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: 11/8/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/1/1990
General Securities Representative Examination

Current Firm

BS
BROADSTONE SECURITIES
BROADSTONE SECURITIES | MICHIGAN SECURITIES, INC. | MICHIGAN ADVISORS, INC. | INSURANCE AUDIT AGENCY, INC. | INSURANCE & AUDIT AGENCY, INC.

CRD#: 101600 / SEC#: , 8-52094

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

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
Michigan since 09/10/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
WENTWORTH MANAGEMENT SERVICES, LLCHOLDING COMPANY
BOHLEY, TRACEY LEAFINOP, CHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIECEO/CCO4405001

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

BROADSTONE SECURITIES

CRD#: 101600

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