Thomas K. Heffernan
Professional summary
Thomas Kevin Heffernan, who also goes by T Kevin Heffernan, is a registered financial professional currently at BANKERS LIFE SECURITIES, INC. located in Chicago, Illinois.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1983. Thomas has worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Kevin Heffernan's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 5, 2019 - Present
BANKERS LIFE SECURITIES, INC.
Office #1: 303 E Wacker Drive 5th Fl, Chicago, IL 60601August 7, 2017 - August 24, 2017
E*TRADE SECURITIES LLC
January 21, 2015 - August 7, 2017
E*TRADE FUTURES LLC
July 13, 2011 - January 21, 2015
OPTIONSHOUSE1, LLC
September 14, 2005 - August 4, 2011
REGAL SECURITIES, INC.
October 14, 2004 - June 22, 2005
TCF INVESTMENTS, INC.
January 13, 2004 - October 12, 2004
WOODBURY FINANCIAL SERVICES, INC.
March 18, 1999 - May 20, 2003
TITLE SECURITIES, INC.
February 8, 1990 - November 2, 1992
PERSHING LLC
March 24, 1987 - January 15, 1990
UNIFIED FINANCIAL SECURITIES, LLC
October 30, 1986 - February 27, 1987
FIRST OPTIONS OF CHICAGO, INC.
November 22, 1983 - October 15, 1986
H. A. BRANDT & ASSOCIATES, 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
(3/5/2019)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/3/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
BANKERS LIFE SECURITIES, INC.
CRD#: 173962 / SEC#: , 8-69562
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CDOC, INC. | PARENT COMPANY | |
| GOLDBERG, SCOTT LOUIS | BOARD MEMBER | 5296395 |
| HEILMAN, CHERYL LYNN | PRESIDENT/CEO/DIRECTOR | 2114445 |
| JOSEPHSON, STEVEN M | COO, DIRECTOR | 2239540 |
| KELLY, BRETT J | DIRECTOR, BLS OPERATIONS | 4818868 |
| LAMSON, MARK LEE | DIRECTOR OF SALES PRACTICE | 1796166 |
| MCDONOUGH, PAUL H | BOARD MEMBER | 7089411 |
| ROBERTS, ALBERTA STEPHENS | CHIEF COMPLIANCE OFFICER/ SECRETARY | 2681068 |
| TUCKER, CLARK BOMAR | FINOP | 1977842 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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