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Phyllis Anne Henderson

Thinkequity LLC

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About Phyllis Anne Henderson

Phyllis Henderson has been in the financial services industry since 1988 and is currently registered with Thinkequity LLC in Hicksville, NY. Phyllis has a variety of experience, including working with Fordham Financial Management, Inc., Wilmington Capital Securities, LLC, and Emerald Bay Capital Management, LLC. Phyllis holds a Series 7, 24, 63, 79TO, 99TO and SIE.

Firm Information

Phyllis Henderson is currently registered with Thinkequity LLC. Thinkequity LLC is a Limited Liability Company formed on August 13, 2021. The firm is registered in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. Thinkequity LLC has been the subject of 8 Regulatory Events, 3 Civil Events, and 2 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

46

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Phyllis Henderson’s Registration & Firm History

NY

05/11/2009 - Present

Thinkequity LLC (Hicksville NY)

NY

02/04/2008 - 06/02/2009

WILMINGTON CAPITAL SECURITIES, LLC (GARDEN CITY NY)

NY

08/29/2005 - 02/04/2008

FORDHAM FINANCIAL MANAGEMENT, INC. (NEW YORK NY)

NY

09/23/2002 - 01/13/2004

EMERALD BAY CAPITAL MANAGEMENT, LLC (NEW YORK NY)

NY

03/22/2002 - 08/30/2002

AEGIS CAPITAL CORP. (NEW YORK NY)

NY

11/06/2000 - 03/15/2002

LACONIA CAPITAL CORPORATION (NEW YORK NY)

NY

01/02/2000 - 06/15/2000

THE THERMOPYLAE GROUP, INC. (NEW YORK NY)

NY

05/06/1996 - 12/22/1999

FORDHAM FINANCIAL MANAGEMENT, INC. (NEW YORK NY)

NY

01/09/1989 - 02/21/1995

BERKELEY SECURITIES CORPORATION (NEW YORK NY)

NA

04/06/1990 - 05/11/1992

N.I.S.E. BROKERAGE INCORPORATED

NA

10/13/1988 - 08/24/1989

CHAPDELAINE SECURITIES, INC.

NA

06/09/1988 - 09/21/1988

COLEMAN & COMPANY

NA

12/23/1987 - 02/02/1988

R.C. STAMM & CO., INC.

NA

11/20/1987 - 12/14/1987

GREELEY SECURITIES, INC.

NA

06/23/1986 - 11/23/1987

HAAS SECURITIES CORPORATION

NA

02/21/1985 - 05/23/1986

FIRST CHATHAM SECURITIES, INC.

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Licenses & Designations

BC

Issued 04/22/1985

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 14 - Compliance Officer Examination

BC

Issued 08/17/1987

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/16/1985

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Phyllis Anne Henderson.
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