Henry W. Lindemann
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.
Henry W Lindemann, who also goes by Henry W Lindeman, Henry William Ross Lindemann, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 2009. Henry had worked at 4 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
July 31, 2013 - October 5, 2015
EZE CASTLE TRANSACTION SERVICES LLC
January 3, 2012 - July 10, 2013
COWEN EXECUTION SERVICES LLC
August 12, 2009 - January 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 12, 2009 - January 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 5, 2009 - August 5, 2009
EQUITABLE ADVISORS, LLC
April 17, 2009 - August 5, 2009
EQUITABLE ADVISORS, 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
Exams
Current Firm
EZE CASTLE TRANSACTION SERVICES LLC
CRD#: 132246 / SEC#: , 8-66577
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
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.
