Henry L. Peabody
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 Lee Peabody was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1989. Henry had worked at 8 firms and has passed the Series 63, Series 57TO, Series 52TO, SIE, Series 55 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
June 16, 2020 - February 28, 2022
SECUREVEST FINANCIAL GROUP
August 4, 2015 - June 11, 2020
ROSS, SINCLAIRE & ASSOCIATES, LLC
August 2, 2002 - July 24, 2015
R. SEELAUS & CO., LLC
May 4, 1999 - March 12, 2002
ITG EXECUTION SERVICES, INC.
January 15, 1996 - April 26, 1999
WINSLOW, EVANS & CROCKER, INC.
January 28, 1995 - January 17, 1996
UBS FINANCIAL SERVICES INC.
November 4, 1992 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
December 21, 1989 - June 20, 1990
BANCBOSTON SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 4/24/2000
Limited Representative-Equity Trader ExamCurrent Firm
SECUREVEST FINANCIAL GROUP
CRD#: 10100 / SEC#: , 8-26030
Contact information
Disclosures
| Regulatory Event | 4 |
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