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JH

James S. Heitzer

Some features on this profile are disabled
CRD#: 1187636
JH

Professional summary

James Salvadore Heitzer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, James had worked at 11 firms, which includes RENAISSANCE FINANCIAL SECURITIES CORP., SUNPOINT SECURITIES INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, CORTLANDT CAPITAL CORPORATION, JASON MACKENZIE SECURITIES INC., MORGAN STANLEY DW INC., UBS FINANCIAL SERVICES INC., SOUTH RICHMOND SECURITIES INC., E. F. HUTTON & COMPANY INC, PRUDENTIAL EQUITY GROUP LLC, JEFFERIES LLC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Salvador Heitzer | James Salvatore Heitzer

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 17, 1995 - November 18, 1996

RENAISSANCE FINANCIAL SECURITIES CORP.

BD
CRD#: 10735
Past

September 6, 1994 - May 11, 1995

SUNPOINT SECURITIES, INC.

BD
CRD#: 25442
LONGVIEW, TX
Past

June 7, 1994 - August 26, 1994

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

May 13, 1993 - May 31, 1994

CORTLANDT CAPITAL CORPORATION

BD
CRD#: 25152
NEW YORK CITY, NY
Past

July 30, 1992 - May 25, 1993

JASON MACKENZIE SECURITIES, INC.

BD
CRD#: 15287
Past

January 2, 1990 - July 7, 1992

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

July 31, 1989 - January 4, 1990

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

July 1, 1987 - August 9, 1989

SOUTH RICHMOND SECURITIES, INC.

BD
CRD#: 14913
Past

May 13, 1986 - May 22, 1987

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

November 5, 1984 - May 22, 1986

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

October 26, 1984 - November 7, 1984

JEFFERIES LLC

BD
CRD#: 2347

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/8/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/20/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/26/1988
General Securities Principal Examination

Current Firm

RF
RENAISSANCE FINANCIAL SECURITIES CORP.
AFA DISTRIBUTORS, INC. | RENAISSANCE FINANCIAL SECURITIES CORP.

CRD#: 10735 / SEC#: , 8-27267

BD
Terminated by SEC on 06/13/1998
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/14/1982
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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.

Company Information

RENAISSANCE FINANCIAL SECURITIES CORP.

CRD#: 10735

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