David J. Henry
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.
David James Henry was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2018. David had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2022 - December 31, 2023
OAKWOOD CAPITAL SECURITIES, INC.
March 20, 2020 - December 16, 2022
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
April 25, 2018 - September 11, 2019
CHESTERBROOK CAPITAL
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
OAKWOOD CAPITAL SECURITIES, INC.
CRD#: 21000 / SEC#: , 8-38631
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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