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WILLIAM RICHARD HENZEY
BILL HENZEY
CRD#: 1952966
IA
Investment Adviser
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Previous Broker
FINANCIAL GUIDANCE INVESTMENT ADVISERS, INC.CRD#: 120856 8162 COLUMBIA ROAD
OLMSTED FALLS, OH 44138-2043
Registration History
19901995200020052010201520202025IAFINANCIAL GUIDANCE INVESTMENT ... (CRD# 120856)1999 - Present (25 years)BSIGMA FINANCIAL CORPORATION (CRD# 14303)1995 - 2009 (13 years)BWALNUT STREET SECURITIES, INC. (CRD# 15840)1989 - 1995 (6 years)IASPC (CRD# 110692)2009 - 2009 (<1 year)
Disclosure(s)
View By:
8/23/2023
Judgment / Lien
4/25/2023
Judgment / Lien
3/30/2023
Judgment / Lien
9/22/2009
Employment Separation After Allegations
4/1/2009
Regulatory
Final
10/10/2007
Customer Dispute
Settled
9/23/2002
Customer Dispute
Award / Judgment
License(s)

State Registrations

IA
Ohio 11/29/1999

Current Registration(s)
IA
FINANCIAL GUIDANCE INVESTMENT ADVISERS, INC. (CRD#:120856)
8162 COLUMBIA ROAD, OLMSTED FALLS, OH 44138-2043
Registered with this firm since 11/29/1999

Previous Registration(s)
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02/06/2009 - 09/22/2009 SPC (CRD#:110692) BEREA, OH
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11/17/1995 - 09/22/2009 SIGMA FINANCIAL CORPORATION (CRD#:14303) BEREA, OH
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07/18/1989 - 12/22/1995 WALNUT STREET SECURITIES, INC. (CRD#:15840) EL SEGUNDO, CA
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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.