Gregory C. 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.
Gregory Cothran Henry, who also goes by Gregory C Henry, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2015. Gregory had worked at 2 firms and has passed the Series 66, 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
January 16, 2018 - February 23, 2022
W.A. SMITH FINANCIAL GROUP
October 5, 2015 - November 27, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 2015 - November 27, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
W.A. SMITH FINANCIAL GROUP
CRD#: 146608 / SEC#: 801-110042
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
Current Firm
W.A. SMITH FINANCIAL GROUP
CRD#: 146608 / SEC#: 801-110042
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,582 |
| AUM (Assets Under Management) | $ 962,640,394 |
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.
