Henry J. Carter
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 John George Carter, who also goes by Henry J Carter, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 2012. Henry had worked at 1 firm and has passed the Series 7TO, Series 57TO, SIE, Series 7, Series 56 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2012 - July 14, 2020
IMC FINANCIAL MARKETS
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 7/3/2022
General Securities Representative ExaminationSeries 57TO
Date: 7/3/2022
Securities Trader ExamSeries 56
Date: 2/6/2012
Proprietary Trader Qualification ExaminationCurrent Firm
IMC FINANCIAL MARKETS
CRD#: 104143 / SEC#: , 8-52600
Contact information
Documents
Disclosures
| Regulatory Event | 35 |
Red Flags
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