Allan Henriques, financial advisor Rocklin CA
83 score

Allan Henriques

CRD Number: 1326424
Current Firm: Smart Investor

Allan Henriques (CRD# 1326424) is an Investment Advisor Representative working at Smart Investor in Rocklin, CA and has over 29 years of experience in the finance industry.

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Company Name Location Dates Years
Dal J. Darrac & Company Inc. Rocklin, CA Jul 2007 - Current 9
Smart Investor Services Rocklin, CA Jun 2001 - Current 15
Smart Investor Rocklin, CA Jun 2001 - Current 15
Lpl Financial Corporation Rocklin, CA Sep 2009 - Sep 2010 1
Associated Securities Corp. Rocklin, CA Dec 2008 - Jun 2009 < 1
Fsc Securities Corporation Rocklin, CA Aug 2001 - Dec 2008 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1987
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Allan C. Henriques
Phone Number: 916-435-2100
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    257
    MILLIONS
  • Total Number of Accounts
    589
    ACCOUNTS
  • Average Account Value
    $436,354
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Educational seminars/workshops
Types of Clients
Registered States

CA, NE, TX

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BADGES
83

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