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Enrique G. Pflucker

Some features on this profile are disabled
CRD#: 4789342
EP

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.

Enrique Guido Pflucker, who also goes by Henry Lucas, Henry Pflucker, was a registered financial professional .

Enrique is a previously registered financial professional and started their career in finance in 2008. Enrique had worked at 9 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Henry Lucas | Henry Pflucker

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

October 4, 2012 - September 26, 2014

LEGEND SECURITIES, INC.

BD
CRD#: 44952
NEW YORK, NY
Past

April 21, 2011 - August 13, 2012

SW FINANCIAL

BD
CRD#: 145012
BOHEMIA, NY
Past

July 27, 2010 - March 11, 2011

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
BOHEMIA, NY
Past

January 29, 2010 - July 23, 2010

BROOKSTONE SECURITIES, INC.

BD
CRD#: 13366
BOHEMIA, NY
Past

January 19, 2010 - January 26, 2010

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BD
CRD#: 130390
BOHEMIA, NY
Past

November 16, 2009 - January 19, 2010

SYNERGY INVESTMENT GROUP, LLC

BD
CRD#: 46035
BOHEMIA, NY
Past

July 16, 2009 - November 2, 2009

PHD CAPITAL

BD
CRD#: 38785
HOLTSVILLE, NY
Past

January 20, 2009 - July 24, 2009

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
SYOSSET, NY
Past

February 21, 2008 - January 2, 2009

J.D. NICHOLAS & ASSOCIATES, INC.

BD
CRD#: 44791
MOUNT DORA, FL

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: 3/20/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/2008
General Securities Representative Examination

Current Firm

LS
LEGEND SECURITIES, INC.
LEGEND SECURITIES, INC. | SPC SECURITIES, INC. | MARLIN TRADING, INC.

CRD#: 44952 / SEC#: , 8-50886

BD
Postponed Effective by SEC on 01/19/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/29/1998
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STOCKTRADE NETWORK, INC.SHARE OWNER

Disclosures

Regulatory Event22
Arbitration14

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

LEGEND SECURITIES, INC.

CRD#: 44952

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