John D. Heritage
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.
John David Heritage was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 8 firms and has passed the Series 63, Series 3, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2001 - March 26, 2002
LOCUST STREET SECURITIES, INC.
March 2, 2001 - December 6, 2001
LOCUST STREET SECURITIES, INC.
October 19, 1998 - May 19, 1999
EQUITY CAPITAL CORPORATION
December 20, 1995 - December 31, 1997
BRYAN FUNDING, INC.
April 29, 1985 - February 8, 1994
STEPHENS
November 9, 1984 - April 9, 1985
COLLINS SECURITIES CORPORATION
August 6, 1984 - September 21, 1984
UMIC, INC.
August 19, 1983 - August 3, 1984
PRUDENTIAL EQUITY GROUP, LLC
October 1, 1982 - July 27, 1983
SWINK & COMPANY, 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
LOCUST STREET SECURITIES, INC.
CRD#: 1703 / SEC#: , 8-14037
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ING ADVISORS NETWORK. INC | SOLE SHAREHOLDER | |
| COKINIS, CHRISTOPHER ALEX | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND SECRETARY | 1527389 |
| FRIEBERG, DAVID EUGENE | VICE PRESIDENT, RECRUITING | 1289486 |
| LARAIA, KEVIN MICHAEL | TREASURER, VICE PRESIDENT FINANCE & OPERATIONS, FIN OP, COO | 2456743 |
| LINDBERG, KARL STEPHEN | PRESIDENT/DIRECTOR | 1001270 |
| SIMMERS, JOHN STEPHEN | CHAIRMAN OF BOARD | 711578 |
| STEPHENS, LYNN ANNETTE | VICE PRESIDENT, BUSINESS DEVELOPMENT | 2169858 |
| STYCH, KEVIN PAUL | VICE PRESIDENT, SALES & MARKETING | 1904094 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
