Henry M. Strauss
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 Moise Strauss, who also goes by Hank Strauss, Henry M. Strauss, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1980. Henry had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2008 - April 28, 2009
THE QUANTITATIVE GROUP, L.P.
January 31, 2006 - May 1, 2017
WFG ADVISORS, LP
January 24, 2006 - May 1, 2017
WFG INVESTMENTS, INC.
November 3, 2004 - January 25, 2006
HILLTOP SECURITIES INC.
November 3, 2004 - January 25, 2006
HILLTOP SECURITIES INC.
July 1, 2003 - November 18, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - November 18, 2004
WELLS FARGO CLEARING SERVICES, LLC
August 25, 1989 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 25, 1989 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 22, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
September 23, 1980 - March 4, 1989
PRUDENTIAL EQUITY GROUP, LLC
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
Series 8
Date: 3/8/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
THE QUANTITATIVE GROUP, L.P.
CRD#: 136184 / SEC#: 801-64667
Contact information
Red Flags
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