Henry L. Ariail
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 Lester Ariail JR was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1970. Henry had worked at 4 firms and has passed the Series 65, Series 63, Series 1, Series 53, Series 27 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2003 - April 16, 2013
J.D. NICHOLAS & ASSOCIATES, INC.
May 12, 1998 - February 6, 2014
J.D. NICHOLAS & ASSOCIATES, INC.
June 20, 1985 - May 28, 1998
LINCOLN INVESTMENT
April 25, 1977 - July 9, 1985
PROVIDENTMUTUAL FINANCIAL SERVICES, INC.
July 14, 1970 - June 3, 1977
HARVEST MANAGEMENT CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 11/12/1969
Registered Representative ExaminationSeries 00
Date: 1/14/1970
General Securities Principal ExaminationCurrent Firm
J.D. NICHOLAS & ASSOCIATES, INC.
CRD#: 44791 / SEC#: , 8-50822
Contact information
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
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