Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Henning is a registered representative with Capital One Securities, Inc., located in New York, NY. Samuel has been in the industry since September 30, 2020, and holds a Series 7TO, Series 79TO, Series 99TO and Series 63 license. Samuel's previous experience includes working for Jefferies LLC in New York, NY. Samuel is registered to sell securities in 11 states, including California, Connecticut, Florida, Illinois, Louisiana, Maryland, Massachusetts, New York, Pennsylvania, Texas and Virginia.
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.
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.
1
2
NY
07/28/2022 - Present
Capital ONE Securities, Inc. (New York NY)
NY
08/27/2019 - 06/21/2021
JEFFERIES LLC (NEW YORK NY)
BC
Issued 09/15/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 08/18/2022
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 08/27/2019
Series 7TO - General Securities Representative Examination
BC
Issued 08/27/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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