James A. Heugly
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Austin Heugly was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 1996 - July 15, 2011
ACAP FINANCIAL INC.
January 28, 1991 - January 17, 1996
HELIX SECURITIES, INC.
May 14, 1990 - January 15, 1991
COVEY & CO., INC.
March 2, 1988 - April 25, 1990
BAGLEY SECURITIES, INC.
January 25, 1982 - February 13, 1988
MAIN STREET SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ACAP FINANCIAL INC.
CRD#: 7731 / SEC#: , 8-22821
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FERGUSON, KIRK LYNN | PRESIDENT, CEO, CFO, CCO, CO | 1307741 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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