Henry R. Middleton
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 Richard Middleton was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 2018. Henry had worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 24 exams.
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2018 - January 31, 2022
BARINGS SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
BARINGS SECURITIES LLC
CRD#: 36929 / SEC#: , 8-47589
Contact information
FINRA licenses (52 States and Territories)
Documents
Red Flags
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