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Detailed Report
HENRY WILLIAM BOETTGER
BILL BOETTGER, HENRY BOETTGER
CRD#: 5113399
IA
Investment Adviser
B
Broker
ESI FINANCIAL ADVISORSCRD#: 265 LAGRANGEVILLE, NY
Registration History
20062008201020122014201620182020202220242026IAESI FINANCIAL ADVISORS (CRD# 265)2021 - Present (3 years)BEQUITY SERVICES, INC. (CRD# 265)2014 - Present (10 years)BMML INVESTORS SERVICES, LLC (CRD# 10409)2011 - 2012 (1 year)BSIGNATOR INVESTORS, INC. (CRD# 468)2008 - 2010 (2 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2006 - 2008 (1 year)
License(s)

State Registrations

B
California 1/23/2023
B
New York 8/6/2014
B
Connecticut 1/26/2023
IA
New York 6/22/2021
B
New Jersey 1/23/2023
B
North Carolina 1/23/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ESI FINANCIAL ADVISORS (CRD#:265)
LAGRANGEVILLE, NY
Registered with this firm since 6/22/2021
B
EQUITY SERVICES, INC. (CRD#:265)
LAGRANGEVILLE, NY
Registered with this firm since 8/6/2014
Previous Registration(s)
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B
 01/11/2011 - 08/13/2012 MML INVESTORS SERVICES, LLC (CRD#:10409) NYACK, NY
B
 11/18/2008 - 11/19/2010 SIGNATOR INVESTORS, INC. (CRD#:468) WESTBURY, NY
B
 11/20/2006 - 10/02/2008 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) POUGHKEEPSIE, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.