James R. Heitman
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.
James Roy Heitman, CFP®, who also goes by James Roy E Heitman, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2017 - December 31, 2019
COMPASS FINANCIAL PLANNING
January 14, 2014 - December 31, 2016
COMPASS FINANCIAL PLANNING
May 27, 2010 - December 31, 2013
COMPASS FINANCIAL PLANNING
January 20, 2006 - April 8, 2010
U.S. BANCORP ADVISORS, LLC
January 6, 2006 - April 8, 2010
U.S. BANCORP ADVISORS, LLC
February 16, 2005 - March 2, 2006
COMPASS FINANCIAL PLANNING
May 15, 2003 - August 9, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 14, 2003 - August 9, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 8, 1997 - December 31, 2002
CHARLES SCHWAB & CO., INC.
September 14, 1992 - December 31, 2002
CHARLES SCHWAB & CO., INC.
June 17, 1992 - July 27, 1992
M.C. FINANCIAL CORPORATION
May 17, 1991 - May 11, 1992
NYLIFE SECURITIES LLC
May 21, 1987 - March 28, 1990
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 7/29/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
COMPASS FINANCIAL PLANNING
CRD#: 153745 / SEC#:
Contact information
Red Flags
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