Lenore I. Heller
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.
Lenore Ida Heller, who also goes by Lenore Schwartz Heller, Lenore T Heller, Lenore I. Schwartz Heller, Lenore Ida Schwartz, was a registered financial professional .
Lenore is a previously registered financial professional and started their career in finance in 1984. Lenore had worked at 17 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2012 - June 3, 2014
CANACCORD GENUITY LLC
July 17, 2012 - September 27, 2012
CANACCORD GENUITY SECURITIES LLC
December 17, 2010 - July 26, 2011
EVOLUTION SECURITIES US INC.
June 1, 2009 - August 3, 2009
MORGAN STANLEY
August 26, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 2, 2007 - July 29, 2008
MORGAN STANLEY & CO. LLC
February 24, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
June 29, 1998 - April 5, 2005
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
June 3, 1996 - September 2, 1997
SBC WARBURG, INC.
February 2, 1993 - June 3, 1996
S.G. WARBURG & CO. INC.
July 26, 1991 - February 18, 1993
GRUNTAL & CO., L.L.C.
April 17, 1989 - July 29, 1991
ARTEMIS CAPITAL GROUP, INC.
April 1, 1987 - April 8, 1989
SCHRODER & CO. INC.
September 8, 1986 - April 2, 1987
NEEDHAM & COMPANY, LLC
September 23, 1985 - August 5, 1986
BLUESTONE CAPITAL CORP.
September 25, 1984 - August 14, 1985
ROONEY, PACE 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
CANACCORD GENUITY LLC
CRD#: 1020 / SEC#: , 8-3271
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
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.
