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HENRY LUCANDER
CRD#: 1017582
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Previous Investment Adviser
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Previous Broker
SUSPENDED
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200620072008200920102011201220132014IAMCGINN, SMITH ADVISORS LLC (CRD# 137827)2006 - 2009 (2 years)
Disclosure(s)
View By:
10/16/2013
Regulatory
Final
3/26/2012
Customer Dispute
Award / Judgment
Previous Registration(s)
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09/06/2006 - 03/02/2009 MCGINN, SMITH ADVISORS LLC (CRD#:137827) ALBANY, NY
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.