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Detailed Report
Henry P. Hessel
CRD#: 6297280
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 20800 Swenson Drive
Suite 325
Waukesha, WI 53186
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2017 - 2022 (4 years)2 FIRMS2022 - Present (3 years)BMID ATLANTIC CAPITAL CORPORATION (CRD# 10674)2014 - 2015 (<1 year)IAREINHART PARTNERS, INC. (CRD# 106432)2015 - 2017 (1 year)
License(s)

State Registrations

B
Alabama 1/20/2022
B
Missouri 1/20/2022
B
Arizona 1/20/2022
B
Nevada 1/20/2022
B
Arkansas 1/12/2023
B
New York 5/22/2023
B
California 1/20/2022
B
North Carolina 1/25/2022
B
Connecticut 1/20/2022
B
Ohio 1/20/2022
B
Delaware 1/20/2022
B
Oklahoma 1/20/2022
B
District of Columbia 12/2/2024
B
Pennsylvania 1/20/2022
B
Florida 1/20/2022
B
South Carolina 1/20/2022
B
Idaho 1/20/2022
B
Texas 1/20/2022
B
Illinois 1/20/2022
IA
Texas 1/20/2022
B
Iowa 1/20/2022
B
Vermont 2/11/2022
B
Kentucky 4/20/2023
B
Virginia 11/21/2022
B
Maryland 1/20/2022
B
Washington 4/5/2022
B
Michigan 1/20/2022
B
Wisconsin 1/20/2022
B
Minnesota 1/26/2022
IA
Wisconsin 1/20/2022

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
20800 Swenson Drive Suite 325, Waukesha, WI 53186
Registered with this firm since 1/20/2022
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
20800 Swenson Drive Suite 325, Waukesha, WI 53186
Registered with this firm since 1/20/2022
Previous Registration(s)
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IA
 01/25/2017 - 01/25/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MILWAUKEE, WI
B
 03/10/2017 - 01/25/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MILWAUKEE, WI
IA
 09/16/2015 - 01/12/2017 REINHART PARTNERS, INC. (CRD#:106432) MEQUON, WI
B
 08/06/2014 - 04/30/2015 MID ATLANTIC CAPITAL CORPORATION (CRD#:10674) DAYTON, OH
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.