Yves F. Hentic
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.
Yves Frank Mao Hentic, who also goes by Yves Frank Hentic, was a registered financial professional .
Yves is a previously registered financial professional and started their career in finance in 1975. Yves had worked at 5 firms and has passed the Series 63, Series 7 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 1986 - January 28, 1987
HAYNE, MILLER FINANCIAL, INC.
March 25, 1983 - August 4, 1987
YVES HENTIC & COMPANY INCORPORATED
September 28, 1978 - May 30, 1979
MARKETFIELD SECURITIES LIMITED
March 28, 1978 - August 27, 1978
COLIN, HOCHSTIN CO.
November 20, 1975 - March 1, 1978
SCHRODER & CO. 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
Series 40
Date: 7/24/1978
Registered Principal ExaminationCurrent Firm
HAYNE, MILLER FINANCIAL, INC.
CRD#: 13849 / SEC#: , 8-29894
Contact information
Documents
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.
