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TH

Thomas B. Hensley

Some features on this profile are disabled
CRD#: 736135
TH

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.

Thomas Barron Hensley JR, who also goes by Thomas Barron Hensley, Tom Hensley, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1981. Thomas had worked at 7 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Barron Hensley | Tom Hensley

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 7, 2008 - September 16, 2024

PARKMAN WHALING SECURITIES LLC

BD
CRD#: 145342
HOUSTON, TX
Past

December 12, 2006 - May 18, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
HOUSTON, TX
Past

May 28, 1997 - May 10, 2007

ML PETRIE PARKMAN CO., INC.

BD
CRD#: 25894
HOUSTON, TX
Past

February 3, 1997 - May 12, 1997

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

October 20, 1994 - April 4, 1995

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

July 3, 1985 - February 23, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

August 17, 1981 - July 12, 1983

ROTAN MOSLE INC.

BD
CRD#: 727

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/15/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/16/2006
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/22/2006
General Securities Principal Examination

Current Firm

PW
PARKMAN WHALING SECURITIES LLC
PARKMAN WHALING SECURITIES LLC

CRD#: 145342 / SEC#: , 8-67723

BD
Terminated by SEC on 11/10/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 06/19/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CAMPBELL, BRUCE EMERSON IIICHIEF COMPLIANCE OFFICER5459992

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.

Company Information

PARKMAN WHALING SECURITIES LLC

CRD#: 145342

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