Scott L. Heckman
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.
Scott Lawrence Heckman was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1985. Scott had worked at 8 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
January 9, 2017 - June 2, 2022
LPS CAPITAL LLC
January 5, 2015 - January 9, 2017
TULLETT PREBON FINANCIAL SERVICES LLC
July 18, 2005 - January 5, 2015
W.A. CAPITAL MARKETS
August 26, 2002 - July 21, 2005
AMHERST SECURITIES GROUP, L.P.
January 13, 2001 - September 4, 2002
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
April 9, 1996 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
August 28, 1985 - December 20, 1995
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LPS CAPITAL LLC
CRD#: 155246 / SEC#: , 8-68706
Contact information
FINRA licenses (28 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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