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Thomas Harry Henson

CRD# 846344·Registered 1977 - 2000
Previously Registered: Being a previously registered professional could mean that Thomas 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.

Professional Summary

Thomas Harry Henson, who also goes by Thomas H Henson, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1977 - 2000. Thomas had worked at 4 firms and has passed the Series 63, Series 7 and Series 39 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Thomas H Henson

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

49 years in the financial services industry

Current & Past Employments

CANAAN SECURITIES, INC.·CRD# 24973
BD
New Canaan, CT
October 2, 1989 - November 2, 2000
ORIENT CAPITAL CORPORATION·CRD# 10651
BD
Stamford, CT
August 17, 1983 - September 12, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
September 26, 1978 - November 10, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.·CRD# 572
BD
December 5, 1977 - September 26, 1978

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Current Firm

CS
CANAAN SECURITIES, INC.

CANAAN SECURITIES, INC.

CRD#: 24973 / SEC#: 8-41502
BD
Terminated by SEC on 01/01/2001

Contact Information

Established

Delaware since 06/08/1989

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
HENSON, THOMAS HARRYDIRECTOR, PRESIDENT, TREASURER & SECRETARY846344

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1981About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Nov 1977About the Series 7 exam

Series 39 — Direct Participation Programs Principal Examination

Passed May 1983About the Series 39 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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