Richard T. Heffern

INVERNESS SECURITIES

Cleveland, OH 44124

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CRD#: 1977994

Professional summary

Richard Todd Heffern is a registered financial professional currently at INVERNESS SECURITIES, LLC located in Cleveland, Ohio.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1989. Richard has worked at 8 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Todd Heffern's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 29, 2019 - Present

INVERNESS SECURITIES, LLC

Office #1: 6060 Parkland Blvd Ste 200, Cleveland, OH 44124

CRD#: 129914

Cleveland, OH

Past

January 26, 2005 - August 30, 2013

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

BEACHWOOD, OH

Past

January 24, 2005 - August 30, 2013

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

BEACHWOOD, OH

Past

January 13, 2003 - January 27, 2005

OSAIC FA, INC.

RIA

CRD#: 3978

CLEVELAND, OH

Past

October 8, 2002 - January 27, 2005

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

October 8, 2002 - January 27, 2005

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

February 18, 1998 - October 29, 2002

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

COLUMBUS, OH

Past

December 22, 1994 - May 21, 1998

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

June 1, 1994 - November 24, 1994

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

August 22, 1989 - December 5, 1994

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(2/9/2022)

New Jersey
(7/30/2025)

Ohio
(10/29/2019)

Tennessee
(8/21/2025)

Exams

State Security Law Exam

Series 63

Date: 1/26/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 8/17/1989

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

INVERNESS SECURITIES, LLC

INVERNESS SECURITIES, LLC | TCG ADVISORS, LLC

CRD#: 129914 / SEC#: , 8-66278

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

6060 Parkland Blvd Ste 200, Cleveland, OH 44124

Mailing Address

6060 Parkland Blvd Ste 200, Cleveland, OH 44124

Phone number

(216) 839-5130

Established

Ohio since 06/12/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (30 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
INVERNESS HOLDING LLC	HOLDING COMPANY
BENTON-COOPER, ASHLEY	PRESIDENT/CHIEF COMPLIANCE OFFICER	4977623
BUSH, FRED COSTON	FINOP/PFO	3075024
SCACCO, JEREMY JOSEPH	VICE PRESIDENT- MUNICIPAL PRINCIPAL	2800507
THOMAS, JERRY C	DIRECTOR OF INSURANCE	7043121

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Richard T. Heffern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Todd Heffern's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

THE HUNTINGTON INVESTMENT COMPANY

WALNUT STREET SECURITIES, INC.

JOHN HANCOCK DISTRIBUTORS LLC

NEW ENGLAND SECURITIES

State Registrations and Notice Filings

Exams

Series 63

Date: 1/26/1990

Series 6

Date: 8/17/1989

FINRA

Current Firm

INVERNESS SECURITIES, LLC

Contact information

FINRA licenses (30 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INVERNESS SECURITIES, LLC

TRUST BUT VERIFY

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