Charles M. 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.
Charles Michael Henderson was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1976. Charles had worked at 8 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2011 - November 8, 2012
HAZARD & SIEGEL, INC.
January 4, 2006 - December 31, 2010
FORTUNE FINANCIAL SERVICES, INC.
April 21, 1994 - December 31, 2005
INVESTORS SECURITY COMPANY, INC.
June 30, 1992 - May 5, 1994
GUARDIAN INVESTOR SERVICES LLC
February 28, 1989 - November 8, 1991
INVESTORS SECURITY COMPANY, INC.
August 8, 1985 - March 7, 1989
JOHN HANCOCK DISTRIBUTORS LLC
February 11, 1982 - August 18, 1983
LINCOLN NATIONAL PENSION INSURANCE COMPANY
June 25, 1976 - August 18, 1983
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 25, 1976 - August 18, 1983
OSAIC FA, 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 1
Date: 6/19/1976
Registered Representative ExaminationCurrent Firm
HAZARD & SIEGEL, INC.
CRD#: 2048 / SEC#: , 8-13942
Contact information
FINRA licenses (43 States and Territories)
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.
