Joseph L. Heaton
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.
Joseph Larry Heaton, who also goes by J L Heaton, Jay Heaton, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1983. Joseph had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2006 - August 5, 2016
GIRARD SECURITIES, INC.
September 1, 2004 - June 9, 2006
VANGUARD CAPITAL
September 26, 2001 - May 29, 2003
SUNAMERICA SECURITIES, INC.
April 14, 2000 - May 29, 2003
SPELMAN & CO., INC.
January 24, 2000 - May 29, 2003
SENTRA SECURITIES CORPORATION
April 13, 1999 - January 21, 2000
MERRIMAN CAPITAL, INC.
June 15, 1994 - September 15, 1998
H.J. MEYERS & CO., INC.
December 6, 1993 - June 27, 1994
GIRARD SECURITIES, INC.
November 9, 1993 - June 16, 1994
SPELMAN & CO., INC.
August 4, 1993 - June 16, 1994
CENTAURUS FINANCIAL, INC.
June 5, 1990 - June 16, 1994
SENTRA SECURITIES CORPORATION
September 22, 1983 - March 4, 1989
FIRST AFFILIATED 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
GIRARD SECURITIES, INC.
CRD#: 18697 / SEC#: 801-61470, 8-36920
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARGERS ACQUISITION LLC | SHAREHOLDER | |
| BALLARD, JAMES DAVID | VP | 1714327 |
| BARRAGAN, JOHN ARTHUR III | PRESIDENT/COO | 2941942 |
| GRAHAM, LUANNE MARIE | ADVISORY CCO | 2310126 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBSEN, BRYAN K | B-D CCO, SECRETARY | 3055957 |
| KLICMAN, SHIRLEY ANNE | VP | 1771713 |
| OLSON, GREGORY ALAN | ASST. SECRETARY | 2692482 |
| ROGERS, JASON DYLAN | SENIOR EXECUTIVE VP | 2641674 |
| SHERROD, TRACI LYNN | AVP | 4321192 |
| SMILEY, STANLEY ROBERT | VP | 3004604 |
| TIETJEN, MARGARET SUSAN | CHIEF EXECUTIVE OFFICER/ DIRECTOR | 1294862 |
Disclosures
| Regulatory Event | 2 |
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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