Terry D. Henderson
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.
Terry Dean Henderson was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 1981. Terry had worked at 13 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
September 1, 2018 - March 6, 2026
BMO CAPITAL MARKETS CORP.
November 17, 2010 - September 1, 2018
KGS-ALPHA CAPITAL MARKETS, L.P.
July 31, 2007 - November 9, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 4, 2005 - July 31, 2007
RYAN BECK & CO.
May 19, 2003 - October 18, 2005
MILESTONE ADVISORS LLC
September 4, 2001 - May 21, 2003
VINING-SPARKS IBG, LLC
August 30, 2001 - September 20, 2001
ADVEST, INC.
January 20, 1995 - August 21, 2001
VINING-SPARKS IBG, LLC
June 21, 1990 - December 16, 1994
DAIN RAUSCHER INCORPORATED
March 2, 1988 - September 19, 1989
CIBC WORLD MARKETS CORP.
August 12, 1987 - April 8, 1988
THOMSON MCKINNON SECURITIES INC.
May 30, 1984 - March 24, 1986
LEHMAN BROTHERS INC.
August 13, 1982 - June 25, 1984
SUTRO & CO. INCORPORATED
May 18, 1981 - August 9, 1982
MORTON SEIDEL & COMPANY, INC.
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
BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP. | SHAREHOLDER | |
| BRICKLEY, THOMAS JOHN | FINANCIAL AND OPERATIONS PRINCIPAL | 3028843 |
| ESTEY, WARREN FRANCIS | MANAGING DIRECTOR, INVESTMENT BANKING | 3114183 |
| FORLENZA, MICHAEL | HEAD, CHIEF OPERATING OFFICER | 5886049 |
| KAHRAMAN, LEVENT | MANAGING DIRECTOR, GLOBAL MARKETS | 2802822 |
| WALISEVER, ARI | CHIEF COMPLIANCE OFFICER | 4425793 |
| WOODWARD, JOEL EDWARD | CHIEF FINANCIAL OFFICER | 5467904 |
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 1,210,751,477 |
Disclosures
| Regulatory Event | 46 |
| Civil Event | 1 |
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.
