David J. Heffernan
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.
David John Heffernan, who also goes by Davi John Heffernan, David John Heffernan, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 10 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
December 6, 2017 - November 13, 2019
COMMERZ MARKETS LLC
March 17, 2016 - June 8, 2017
INTL FCSTONE CREDIT TRADING LLC
August 29, 2011 - January 22, 2015
CREDIT AGRICOLE SECURITIES (USA) INC.
August 25, 2008 - July 11, 2011
CANTOR FITZGERALD & CO.
June 19, 2007 - July 9, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 24, 2002 - July 2, 2007
CITIGROUP GLOBAL MARKETS INC.
September 21, 2001 - May 7, 2002
UBS FINANCIAL SERVICES INC.
September 20, 1999 - August 21, 2001
GRUNTAL & CO., L.L.C.
June 18, 1998 - April 13, 1999
BOZANO, SIMONSEN SECURITIES, INC.
November 8, 1995 - December 22, 1997
CITIGROUP GLOBAL MARKETS INC.
September 5, 1991 - August 19, 1992
LEHMAN BROTHERS INC.
October 20, 1987 - August 16, 1991
CITIGROUP GLOBAL MARKETS 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
COMMERZ MARKETS LLC
CRD#: 41957 / SEC#: , 8-49647
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERZBANK AG | SHAREHOLDER | |
| BARBELLA, JOSEPH | CHIEF COMPLIANCE OFFICER | 5058379 |
| DEFREN, JOHN CHARLES | CHIEF LEGAL OFFICER | 5917742 |
| GEREMIA, JOHN MICHAEL | PRESIDENT/MEMBER BOARD OF MANAGERS | 1794769 |
| HOLSTEN, ANDREAS FRITZ BRUNO | MEMBER BOARD OF MANAGERS | |
| HUBLEY, YOKO | CFO/FINOP | 4297053 |
| LI, SU-CHANG | PRINCIPAL OPERATIONS OFFICER/FINOP | 4990155 |
| LLOYD, KEITH ROSWELL | MEMBER BOARD OF MANAGERS | 2836268 |
| ROYAN, LEE-ANN | CHIEF OPERATING OFFICER | 4860551 |
| SOENNECKEN SCHMIDT, SILKE | MEMBER BOARD OF MANAGERS | |
| TONER, JOSEPH GREGORY | TREASURER | 4910635 |
Disclosures
| Regulatory Event | 9 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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