James C. 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.
James Christopher Heffernan was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 9 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
February 6, 1992 - May 27, 1992
PAULSON INVESTMENT COMPANY LLC
August 12, 1991 - August 12, 1991
PRINCETON FINANCIAL GROUP, INC.
August 12, 1991 - January 29, 1992
MASTERS FINANCIAL GROUP, INC.
January 9, 1989 - April 8, 1989
J F LOWE & COMPANY INCORPORATED
November 15, 1988 - December 21, 1988
J. T. MORAN & CO., INC.
October 3, 1988 - October 31, 1988
SOUTH RICHMOND SECURITIES, INC.
June 24, 1988 - January 2, 1989
INDIVIDUAL'S SECURITIES LTD.
June 16, 1988 - June 29, 1988
PARAGON CAPITAL MARKETS, INC.
February 23, 1988 - June 29, 1988
ALL-TECH DIRECT, 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
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| 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.
