Henry R. Dalberto
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 Robert Dalberto, CFP® was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1964. Henry had worked at 5 firms and has passed the Series 99TO, Series 7TO, SIE, Series 1, Series 14, Series 24, Series 51, Series 28 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1987
Experience
February 13, 1992 - June 30, 2023
AMERICAN FINANCIAL ASSOCIATES, INC.
May 8, 1991 - February 20, 1992
VALLEY NATIONAL INVESTMENTS, INC.
July 27, 1979 - May 29, 1991
PILGRIM PLANNING ASSOCIATES, INC.
May 3, 1971 - June 19, 1979
C. J. M. PLANNING CORP.
March 9, 1964 - May 7, 1971
ALLEN, ROGERS & CO., INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 7/12/1960
Registered Representative ExaminationSeries 28
Date: 9/13/1991
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 00
Date: 5/28/1970
General Securities Principal ExaminationCurrent Firm
AMERICAN FINANCIAL ASSOCIATES, INC.
CRD#: 29049 / SEC#: , 8-44065
Contact information
FINRA licenses (20 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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