Articles Tagged with Henley & Company

Mitchell KurtzPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that former New York-based Henley & Company broker/adviser Mitchell Kurtz, who has received customer complaints, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kurtz (CRD# 1418621).

Mitchell Kurtz has spent 24 years in the securities industry and was most recently registered with Henley & Company in Roslyn Heights, New York (2010-2018). Previous registrations include Raymond James Financial Services in Roslyn Heights, New York (2006-2009) and AdVest in Hartford, Connecticut (1994-2006). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 16, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 31, 1994; Series 7 (General Securities Representative Examination), which he obtained on October 14, 2012; Series 24 (General Securities Principal Examination), which he obtained on March 15, 2006; and Series 4 (Registered Options Principal Examination), which he obtained on May 9, 1997. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one FINRA sanction and three customer complaints, and he was recently discharged from his former employer in connection to alleged rule violations.