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Henry Lee Hunter

Other Names: Henry Hunter, Henry L Hunter
Firm:
Morgan Stanley Smith Barney LLC
Type: Dual Registration
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Description

Henry Hunter a financial professional at Morgan Stanley Smith Barney LLC, a broker-dealer with over 24,100 registered representatives nationwide. Henry has held an industry securities registration for 5 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Henry Lee Hunter has not answered any questions on Financial Q&A.

Top Guides

Henry Lee Hunter has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Other Investment Advisors
State or Municipal Government Entities
Other Pooled Investment Vehicles
Charitable Organizations
Corporations or Other Businesses
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

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

Experience and Employment History

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Employer Years Dates
Morgan Stanley Smith Barney 1 year, 11 months Jun 2011 - Present
UBS Financial Services Inc. 1 year, 5 months Jan 2010 - Jun 2011
Ubs International Inc. 1 year, 4 months Sep 2008 - Jan 2010
Merrill Lynch, Pierce, Fenner & Smith Incorporated 4 years, 6 months Mar 2004 - Sep 2008
Student 7 months Aug 2003 - Mar 2004
Merrill Lynch 2 years, 9 months Nov 2000 - Aug 2003
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 08/02/2012, 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

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

1 Financial Disclosure

1 Financial Disclosure
As of Date
08/02/2012
02/01/2013
*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

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Exam Series Passed Date
Uniform Combined State Law Examination Series 66 12/08/2011
Uniform Securities Agent State Law Examination Series 63 12/19/2009
National Commodity Futures Examination Series 3 08/16/2009
General Securities Representative Examination Series 7 12/02/2007

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions
  • Other: SEE SCHEDULE D MISCELLANEOUS