Henry A. Dahlgren
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 Andrew Dahlgren JR, who also goes by Hank Dahlgren, Henry Andrew Dahlgren, Henry Dahlgren, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1969. Henry had worked at 16 firms and has passed the Series 63, Series 7, Series 18, Series 1 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
October 10, 1995 - December 18, 2000
TORREY PINES SECURITIES, INC.
November 15, 1988 - April 20, 1990
ROTH CAPITAL PARTNERS, LLC
August 17, 1988 - October 25, 1988
PAULSON INVESTMENT COMPANY LLC
May 25, 1988 - August 9, 1988
TOLUCA PACIFIC SECURITIES CORP.
August 7, 1985 - January 18, 1988
LOS ANGELES SECURITIES
November 5, 1984 - July 23, 1985
JESUP & LAMONT SECURITIES CO., INC.
January 11, 1984 - November 26, 1984
GREYSTONE SECURITIES
October 21, 1982 - September 1, 1983
RAUSCHER PIERCE REFSNES, INC.
November 12, 1981 - March 17, 1982
BRENTWOOD SECURITIES, INC.
June 29, 1981 - September 23, 1981
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
October 23, 1980 - April 27, 1981
RAUSCHER PIERCE REFSNES, INC.
June 23, 1980 - October 12, 1980
CIBC WORLD MARKETS CORP.
November 28, 1979 - April 13, 1980
JEFFERIES EXECUTION SERVICES, INC.
February 1, 1978 - November 19, 1979
JEFFERIES LLC
January 8, 1974 - December 23, 1975
FINANCIAL CONSULTANT
October 12, 1973 - December 23, 1973
ROBERTS, SCOTT & CO., INC.
July 9, 1969 - April 20, 1972
DAHLGREN RICHARDSON & CO INCORPORATED
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
Series 18
Date: 1/16/1978
Securities Industry Rules and Regulations ExaminationSeries 1
Date: 7/22/1963
Registered Representative ExaminationCurrent Firm
TORREY PINES SECURITIES, INC.
CRD#: 17120 / SEC#: , 8-35004
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Arbitration | 5 |
Red Flags
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