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Henry L. Davis

Some features on this profile are disabled
CRD#: 6361538
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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 Lyche Davis was a registered financial professional .

Henry is a previously registered financial professional and started their career in finance in 2014. Henry had worked at 3 firms and has passed the Series 63, Series 66, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 22, 2022 - November 18, 2025

AGM SECURITIES LLC

BD
CRD#: 132197
Beverly Hills, CA
Past

September 19, 2020 - October 28, 2022

LINCOLN INTERNATIONAL LLC

BD
CRD#: 42045
CHICAGO, IL
Past

November 15, 2014 - April 17, 2017

MORGAN STANLEY

RIA
CRD#: 149777
CHICAGO, IL
Past

September 3, 2014 - April 17, 2017

MORGAN STANLEY

BD
CRD#: 149777
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/26/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 11/15/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 9/19/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/14/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/30/2014
General Securities Representative Examination

Current Firm

AS
AGM SECURITIES LLC
AGM SECURITIES LLC

CRD#: 132197 / SEC#: , 8-66568

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
7000 W Palmetto Park Rd Suite 503, Boca Raton, FL 33433
Mailing Address
7000 W Palmetto Park Rd Suite 503, Boca Raton, FL 33433
Phone number
(212) 796-1531
Established
Delaware since 05/26/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AGM GROUP HOLDINGS LLCSOLE MEMBER
SPINDEL, HOWARDCFO/FINOP708042
VERDONE, JAMES JOSEPHCEO/CCO2581251

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.

Company Information

AGM SECURITIES LLC

CRD#: 132197

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