HENLEY & COMPANY WEALTH MANAGEMENT LLC of UNIONDALE, NY is an SEC-registered investment adviser (CRD 144884). Regulatory assets under management: $93.9M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions.
| Name | Role | Location |
|---|---|---|
| Maria Teresa Germano-Alessi | CHIEF COMPLIANCE OFFICER/DIRECTOR OF OPERATIONS | — |
| Francis Patrick Gemino | MANAGING MEMBER | — |
| James Joseph Albanese | SENIOR VICE PRESIDENT/ SVP TRADING | — |
| Robert Anthony Fortino | CHIEF FINANCIAL OFFICER | — |
| GEMINO FRANCIS PATRICK | MANAGING MEMBER | — |
| LADERER MICHAEL JOHN | MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER | — |
| ALBANESE JAMES JOSEPH | SENIOR VICE PRESIDENT/ SVP TRADING; VICE PRESIDENT; VICE PRESIDENT/ VP TRADING | — |
| FORTINO ROBERT ANTHONY | CHIEF FINANCIAL OFFICER | — |
| GERMANO-ALESSI MARIA TERESA | CHIEF COMPLIANCE OFFICER/DIRECTOR OF OPERATIONS | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-03-08 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") HAS ENTERED AN ORDER (THE "ORDER") AGAINST HENLEY & COMPANY WEALTH MANAGEMENT, LLC ("HENLEY") FOR BREACHES OF FIDUCIARY DUTY AND INADEQUATE DISCLOSURES IN CONNECTION WITH ITS MUTUAL FUND SHARE CLASS SELECTION PRACTICES AND THE FEES IT, ITS AFFILIATE BRO… | Final | — |