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Information

Firm:
Additional Firm:
Type: Dual Registration
Description

Patrick Henry is a financial professional at Hanson Mcclain Advisors, a $2B RIA based in Sacramento, CA. Patrick is also registered with Hanson Mcclain Securities, a broker-dealer with 30 registered representatives CA, IL and IA. Patrick has held an industry securities registration for 25 years and is subject to SEC and FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

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Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Investment Companies
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Hanson Mcclain Strategic Advisors, Inc. 10 months Aug 2011 - Jun 2012
Hanson Mcclain Securities 6 years Apr 2008 - Present
Hanson Mcclain Securities 6 years, 3 months Jan 2008 - Present
Securities America, Inc. 3 years, 5 months Jul 2004 - Dec 2007
Hanson Mcclain Securities 3 years, 9 months Apr 2004 - Jan 2008
Hanson Mcclain Advisors 10 years, 2 months Feb 2004 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 09/12/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
09/12/2012
03/26/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Securities Agent State Law Examination Series 63 11/12/2004
Uniform Investment Adviser Law Examination Series 65 06/25/1999
General Securities Representative Examination Series 7 01/13/1999
Investment Company Products/Variable Contracts Representative Examination Series 6 05/11/1988

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges