Jeffrey H. Heely
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.
Jeffrey Hall Heely, who also goes by Jeffrey H Heely, was a registered financial advisor .
Jeffrey is a previously registered financial advisor and started their career in finance in 1983. Jeffrey had worked at 17 firms and has passed the Series 63, Series 66, Series 65, 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 15, 2018 - May 20, 2019
HB SECURITIES, LLC
April 21, 2017 - December 19, 2017
FOUR POINTS CAPITAL PARTNERS LLC
June 22, 2016 - February 27, 2017
RAINMAKER SECURITIES, LLC
February 26, 2015 - June 14, 2016
SANCTUARY SECURITIES LLC
April 29, 2010 - November 20, 2012
ADVANCED EQUITIES, INC.
October 21, 2005 - November 20, 2012
ADVANCED EQUITIES, INC.
May 12, 2005 - November 21, 2005
HIGGINS CAPITAL MANAGEMENT, INC.
May 12, 2005 - November 21, 2005
HIGGINS CAPITAL MANAGEMENT, INC.
March 3, 2004 - May 11, 2005
GBS FINANCIAL CORP.
November 24, 2003 - March 3, 2004
CAPSTONE INVESTMENTS
September 17, 2003 - March 3, 2004
CAPSTONE INVESTMENTS
January 8, 1999 - January 27, 2000
PROVIDENT DISTRIBUTORS, INC.
October 1, 1998 - December 31, 1998
BANC OF AMERICA SECURITIES LLC
October 1, 1997 - October 1, 1998
BANCAMERICA SECURITIES, INC.
February 25, 1997 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY LLC
September 7, 1990 - February 14, 1997
CIBC WORLD MARKETS CORP.
January 2, 1990 - September 24, 1990
PAULI & COMPANY, INC
September 30, 1989 - December 22, 1989
ADVEST, INC.
May 29, 1985 - September 30, 1989
NEWHARD, COOK & CO. INCORPORATED
November 5, 1983 - May 21, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
HB SECURITIES, LLC
CRD#: 140356 / SEC#: , 8-67307
Contact information
Documents
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
