Steven M. Heite
Professional summary
Steven M. Heite, who also goes by Steven M Heite, Steven Marc Heite, is a registered financial professional currently at INVESCO CAPITAL MARKETS, INC. located in New York, New York.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1988. Steven has worked at 4 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven M. Heite's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 26, 2005 - Present
INVESCO CAPITAL MARKETS, INC.
Office #1: 225 Liberty St. 11th Floor, New York, NY 10281June 1, 2010 - May 10, 2016
INVESCO DISTRIBUTORS, INC.
June 20, 2001 - February 6, 2004
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 30, 1988 - July 9, 2001
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/26/2005)
(1/12/2016)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
INVESCO CAPITAL MARKETS, INC.
CRD#: 6939 / SEC#: , 8-19412
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | OWNER | |
| GEYER, WILLIAM SENG | DIRECTOR AND CO-PRESIDENT | 2250035 |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARTIGAN, BRIAN CHRISTOPHER | DIRECTOR AND CO-PRESIDENT | 4227272 |
| SAUERBORN, THOMAS J | PRINCIPAL OPERATIONS OFFICER | 1554859 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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