Henry E. Tow
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 Edward Tow was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1986. Henry had worked at 12 firms and has passed the Series 65, Series 63, Series 7, Series 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2012 - September 25, 2014
SCOTTRADE, INC.
April 27, 2010 - October 11, 2011
LANE CAPITAL MARKETS LLC
March 4, 2005 - November 6, 2009
INVESTORS CAPITAL CORP.
November 2, 2004 - November 6, 2009
INVESTORS CAPITAL CORP.
November 13, 2001 - June 1, 2004
INVESTORS CAPITAL CORP.
May 10, 2000 - July 17, 2001
QUICK & REILLY, INC.
July 28, 1999 - March 29, 2000
SCHNEIDER SECURITIES, INC.
June 3, 1999 - August 27, 1999
AUERBACH, POLLAK & RICHARDSON INC.
January 29, 1998 - July 9, 1999
SCHNEIDER SECURITIES, INC.
August 10, 1995 - February 2, 1998
COBURN & MEREDITH, INC.
July 23, 1993 - November 10, 1995
SCHNEIDER SECURITIES, INC.
November 12, 1992 - August 3, 1993
JOSEPHTHAL & CO., INC.
November 20, 1990 - November 16, 1992
SCHNEIDER SECURITIES, INC.
May 3, 1989 - December 3, 1990
JONATHAN ALAN & CO., INC.
March 10, 1989 - May 13, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
July 7, 1988 - December 3, 1990
JONATHAN ALAN & CO., INC.
February 19, 1988 - July 27, 1988
NORTH AMERICAN INVESTMENT CORP.
July 23, 1986 - February 24, 1988
PROVIDENCE SECURITIES, 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 8
Date: 11/3/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
