Henry C. Gillespie

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CRD#: 849154

Professional summary

Henry Carter Gillespie III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Henry is a previously registered financial professional and started their career in finance in 1978. Prior to being barred, Henry had worked at 13 firms, which includes LUMIERE SECURITIES INC., AEGON USA SECURITIES INC., GLOBAL CAPITAL SECURITIES CORPORATION, AMERICAN FRONTEER FINANCIAL CORPORATION, SIGNAL SECURITIES INC., AVANTAX INVESTMENT SERVICES INC., TRINITAS SECURITIES CORP., KNIBBE FINANCIAL GROUP INC., ROBERT THOMAS SECURITIES INC, PRUDENTIAL EQUITY GROUP LLC, INDEPENDENT FINANCIAL PLANNERS CORPORATION, BRENTWOOD SECURITIES INC., CITIGROUP GLOBAL MARKETS INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Hank Gillespie | Henry Carter Gillespie

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 6, 1998 - June 2, 1998

LUMIERE SECURITIES, INC.

CRD#: 13414

DENVER, CO

Past

April 28, 1993 - April 1, 1997

AEGON USA SECURITIES INC.

CRD#: 13302

CEDAR RAPIDS, IA

Past

April 6, 1992 - April 19, 1993

GLOBAL CAPITAL SECURITIES CORPORATION

CRD#: 16184

ENGLEWOOD, CO

Past

August 29, 1991 - April 3, 1992

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

DENVER, CO

Past

August 12, 1991 - October 1, 1991

SIGNAL SECURITIES, INC.

CRD#: 15916

FORT WORTH, TX

Past

March 12, 1990 - August 1, 1991

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

December 21, 1988 - October 25, 1989

TRINITAS SECURITIES CORP.

CRD#: 23162

Past

November 17, 1988 - November 9, 1990

KNIBBE FINANCIAL GROUP, INC.

CRD#: 14436

Past

May 16, 1985 - November 21, 1988

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

February 27, 1984 - October 24, 1985

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

October 9, 1979 - August 14, 1981

INDEPENDENT FINANCIAL PLANNERS CORPORATION

CRD#: 653

Past

September 14, 1978 - November 25, 1978

BRENTWOOD SECURITIES, INC.

CRD#: 7440

Past

March 1, 1978 - September 12, 1978

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 2/29/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 3/12/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/18/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 7/22/1988

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/1/1988

General Securities Principal Examination

Current Firm

LUMIERE SECURITIES, INC.

AFFILIATED INVESTMENT CORPORATION | LUMIERE SECURITIES, INC. | LIK SECURITIES

CRD#: 13414 / SEC#: , 8-29275

Cancelled by SEC on 06/13/2003

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Contact information

Main Address

Mailing Address

Phone number

Established

Colorado since 12/06/1982

Firm type

Corporation

Fiscal year end

March

# of Employees

Documents

Red Flags

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Firm Stability Insights

Henry C. Gillespie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AEGON USA SECURITIES INC.

GLOBAL CAPITAL SECURITIES CORPORATION

AMERICAN FRONTEER FINANCIAL CORPORATION

SIGNAL SECURITIES, INC.

AVANTAX INVESTMENT SERVICES, INC.

TRINITAS SECURITIES CORP.

KNIBBE FINANCIAL GROUP, INC.

ROBERT THOMAS SECURITIES, INC

PRUDENTIAL EQUITY GROUP, LLC

INDEPENDENT FINANCIAL PLANNERS CORPORATION

BRENTWOOD SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/29/1984

Series 3

Date: 3/12/1984

Series 7

Date: 2/18/1984

Series 27

Date: 7/22/1988

Series 24

Date: 7/1/1988

Current Firm

LUMIERE SECURITIES, INC.

Contact information

Documents

Red Flags

Company Information

LUMIERE SECURITIES, INC.

TRUST BUT VERIFY

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