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Detailed Report
OMAR K HENRY
CRD#: 5751648
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
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
This individual has provided comments about information in this report. See Detailed Report for available information.
Registration History
2012201320142015201620172018201920202021202220232024IACETERA ADVISORS LLC (CRD# 10299)2015 - 2016 (1 year)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2015 (2 years)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2012 - 2012 (<1 year)
Disclosure(s)
View By:
2/27/2023
Customer Dispute
Denied
3/1/2021
Customer Dispute
Settled
9/27/2018
Regulatory
Final
4/9/2018
Customer Dispute
Pending
4/2/2015
Employment Separation After Allegations
Previous Registration(s)
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 04/02/2015 - 12/31/2016 CETERA ADVISORS LLC (CRD#:10299) NEW YORK, NY
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 10/01/2012 - 04/24/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) FRANKLIN, NJ
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 02/06/2012 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SUSSEX, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.