Richard P. Henry
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.
Richard Phillip Henry JR was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1976. Richard had worked at 7 firms and has passed the Series 65, Series 63, Series 15, Series 7, Series 4 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
November 16, 2011 - December 31, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 4, 1999 - December 31, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 14, 1990 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
July 24, 1984 - October 16, 1990
LEHMAN BROTHERS INC.
May 12, 1981 - July 13, 1984
MOSELEY SECURITIES CORPORATION
September 26, 1978 - June 8, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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 15
Date: 5/29/1984
Foreign Currency Options ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
