William E. Henderson
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.
William Earl Henderson II was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2002. William had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2009 - December 23, 2021
MONEY CONCEPTS CAPITAL CORP
September 18, 2009 - December 23, 2021
MONEY CONCEPTS CAPITAL CORP
July 20, 2006 - February 18, 2009
SECURITIES AMERICA ADVISORS, INC.
July 18, 2006 - February 18, 2009
SECURITIES AMERICA, INC.
January 5, 2005 - July 6, 2006
MML INVESTORS SERVICES, LLC
December 17, 2004 - July 6, 2006
MML INVESTORS SERVICES, LLC
August 18, 2003 - December 9, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
August 15, 2003 - December 9, 2004
IDS LIFE INSURANCE COMPANY
August 15, 2003 - December 9, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
January 13, 2003 - July 22, 2003
WADDELL & REED
January 8, 2003 - July 22, 2003
WADDELL & REED
August 27, 2002 - October 31, 2002
SMITH HAYES FINANCIAL SERVICES CORPORATION
June 10, 2002 - July 9, 2002
IDS LIFE INSURANCE COMPANY
June 10, 2002 - July 9, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
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
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONEY CONCEPTS INTERNATIONAL, INC | OWNS 100% OF MONEY CONCEPTS CAPITAL CORP. | |
| BARNETT, CHERYL MORRIS | VICE PRESIDENT | COMPLIANCE OFFICER | 1795785 |
| MATOS, LIZA MARIA | VICE PRESIDENT | COMPLIANCE OFFICER | 4371969 |
| RITTMAN, BARRY RICHARD | VICE PRESIDENT | CHIEF FINANCIAL OFFICER | 1997994 |
| WALSH, DENIS STEPHEN | PRESIDENT | CHIEF EXECUTIVE OFFICER | 1124278 |
| WALSH, JAMES EDWARD | VICE PRESIDENT | ADVERTISING AND COMMUNICATIONS | 2275368 |
| WALSH, MARY THERESE | SR VICE PRESIDENT | CHIEF COMPLIANCE OFFICER | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 14,898 |
| AUM (Assets Under Management) | $ 3,328,625,395 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
