Steven C. 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.
Steven Curtis Heller, who also goes by Steven C Heller, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1987. Steven had worked at 12 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2023 - November 17, 2023
THE LEADERS GROUP, INC.
March 3, 2014 - June 13, 2022
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
December 3, 2008 - March 1, 2013
P.J. ROBB VARIABLE, LLC
November 28, 2006 - November 19, 2008
VOYA FINANCIAL ADVISORS, INC.
March 4, 2005 - July 22, 2005
VOYA FINANCIAL ADVISORS, INC.
June 17, 2002 - November 10, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
October 4, 2000 - May 31, 2002
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 23, 1995 - December 31, 2000
NATIONWIDE SECURITIES, LLC
November 13, 1992 - December 9, 1994
MUTUAL SERVICE CORPORATION
January 1, 1991 - November 23, 1992
HIMCO DISTRIBUTION SERVICES COMPANY
March 14, 1990 - November 12, 1990
TOWER SQUARE SECURITIES, INC.
February 29, 1988 - October 8, 1988
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 19, 1987 - February 25, 1988
RELIASTAR FINANCIAL MARKETING CORP.
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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