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LH

Larry L. Henry

DC ADVISORY
NEW YORK, NY 10158
Some features on this profile are disabled
CRD#: 859562
LH

Professional summary

Larry Lee Henry, who also goes by Larry L Henry, is a registered financial professional currently at DC ADVISORY located in New York, New York.

Larry is registered as a RR (Registered Representative) and started their career in finance in 1982. Larry has worked at 5 firms and has passed the Series 63, Series 65, Series 79TO, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Larry L Henry

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) - BD

Click below to view Larry Lee Henry's CRS (Customer Relationship Summary).

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

Current

March 12, 2020 - Present

DC ADVISORY

Office #1: 605 Third Avenue 11th Floor, New York, NY 10158
BD
CRD#: 129919
NEW YORK, NY
Past

October 2, 2013 - March 27, 2014

HENRY PARTNERS, LLC

RIA
CRD#: 167734
GREENWICH, CT
Past

November 3, 2000 - September 29, 2008

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

November 1, 1994 - September 27, 2002

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

September 16, 1982 - July 17, 1985

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613

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
RR
Series 63
Date: 1/21/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/15/2013
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/11/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 11/18/1978
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/17/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DA
DC ADVISORY
DAIWA CORPORATE ADVISORY LLC | SAGENT ADVISORS, LLC | SAGENT ADVISORS, INC. | SAGENT ADVISORS INC. | DCS ADVISORY LLC | DC ADVISORY US | DC ADVISORY

CRD#: 129919 / SEC#: , 8-66273

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
605 Third Avenue 11th Floor, New York, NY 10158
Mailing Address
605 Third Avenue 11th Floor, New York, NY 10158
Phone number
(212) 904-9400
Established
Delaware since 04/01/2012
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DAIWA CORPORATE ADVISORY HOLDINGS INC.SHAREHOLDER
BAYER, JONATHAN LEWISGENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER5050555
DONOHUE, JOSEPH THOMASVICE CHAIRMAN1630441
EDMONDSON, ERIC WINSTONVICE CHAIRMAN1441360
KOHR, WILLIAM EDWARDCHIEF EXECUTIVE OFFICER1563851
PACITTO, PETER JOSEPHCHIEF ADMINISTRATIVE OFFICER, CFO, FINOP1700696

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.

Company Information

DC ADVISORY

CRD#: 129919New York, NY 10158

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