Henry W. Abts
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 William Abts III, who also goes by Henry William Abis, Henry William Abts, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1983. Henry had worked at 4 firms and has passed the Series 63, Series 7, Series 22, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 1992 - September 30, 1994
SENTRA SECURITIES CORPORATION
March 4, 1988 - December 5, 1990
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
December 17, 1986 - February 12, 1988
GRANITE CAPITAL
May 26, 1983 - December 4, 1986
BOARDWALK CAPITAL CORPORATION
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 1
Date: 10/24/1974
Registered Representative ExaminationCurrent Firm
SENTRA SECURITIES CORPORATION
CRD#: 10249 / SEC#: , 8-26701
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AIG ADVISOR GROUP | OWNER | |
| BOURDAMIS, SALLY HANSON | VICE PRESIDENT, BROKERAGE SERVICES | 1812157 |
| CANNON, JAMES RICHARD | PRESIDENT, CEO, DIRECTOR | 1755987 |
| CAPRIOTTI, JACQUELYN MARIE | VICE PRESIDENT, VISION 2020 | 1575021 |
| CAVANAUGH, MARY LOUISE | DIRECTOR | 1977110 |
| DENBY, SUSANNE MARIE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2617514 |
| DORFMAN, KENNETH PAUL | CROP | 2460380 |
| FIELDS, INGER WILSON | FINOP | 1690043 |
| FREEMAN, BRUCE TODD | ASSOCIATE VICE PRESIDENT, MUNICIPAL PRINCIPAL | 2451499 |
| GAUGHAN, BRIDGET MARY | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY | 2691949 |
| GAUGHAN, BRIDGET MARY | DIRECTOR | 2691949 |
| KUBICA, LISA SUE | EXECUTIVE VICE PRESIDENT, COO, SROP, MP | 1098488 |
| MCREYNOLDS, MICHAEL RONALD | ASSISTANT VICE PRESIDENT, INSURANCE | 816602 |
| PARKER, RALPH JOEL | ASSISTANT VICE PRESIDENT, INSURANCE | 2587496 |
| RADFORD, CHRISTOPHER BLAKE | SENIOR VICE PRESIDENT, NATIONAL SALES | 1564302 |
| ROTHSTEIN, STEVEN ELLIOT | DIRECTOR | 1292456 |
| ROTHSTEIN, STEVEN ELLIOT | EXECUTIVE VICE PRESIDENT, CFO, TREASURER | 1292456 |
| SONCHIK, RITA LYNN | VICE PRESIDENT, ACCOUNTING | 1865389 |
| STAUFFER, RALPH OWEN JR | VICE PRESIDENT INFORMATION TECHNOLOGY | 3255670 |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 1 |
| Arbitration | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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