Jerry N. Henning
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.
Jerry Nickolas Henning, who also goes by J Nickolas Henning, was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1999. Jerry had worked at 5 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2013 - August 6, 2013
FINANCE 500, INC.
July 2, 2012 - June 26, 2013
PAULSON INVESTMENT COMPANY LLC
May 17, 2011 - June 12, 2012
ADVANCED EQUITIES, INC.
March 17, 2004 - September 26, 2008
PHILLIPS & COMPANY
March 19, 2001 - September 26, 2008
PHILLIPS & COMPANY
November 11, 1999 - March 19, 2001
WILLAMETTE SECURITIES, 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
Current Firm
FINANCE 500, INC.
CRD#: 12981 / SEC#: , 8-28302
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
| Bond | 1 |
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.
