John W. Henley
Professional summary
John Walter Henley is a registered financial professional currently at AMERITAS INVESTMENT COMPANY, LLC located in Hernando, Mississippi.
John is registered as a RR (Registered Representative) and started their career in finance in 2000. John has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Walter Henley's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 24, 2014 - Present
AMERITAS INVESTMENT COMPANY, LLC
January 10, 2005 - December 31, 2013
INVESTORS CAPITAL CORP.
August 9, 2004 - December 31, 2004
SAXONY CAPITAL MANAGEMENT, LLC
April 28, 2004 - December 31, 2004
SAXONY SECURITIES, INC.
February 14, 2001 - January 6, 2004
METROPOLITAN LIFE INSURANCE COMPANY
February 14, 2001 - January 6, 2004
MSI FINANCIAL SERVICES, INC.
September 27, 2000 - November 17, 2000
IDS LIFE INSURANCE COMPANY
September 27, 2000 - November 17, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/2/2016)
(10/2/2014)
(5/31/2017)
(6/25/2014)
(1/24/2014)
(10/25/2023)
(1/24/2014)
(3/15/2016)
Exams
FINRA
Current Firm
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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