Robert S. Heffes
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.
Robert Scot Heffes, who also goes by Rob Heffes, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1989. Robert had worked at 11 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 79TO, SIE, Series 55, 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
April 21, 2016 - January 24, 2025
REGIONS SECURITIES LLC
June 10, 2009 - April 18, 2016
CRT CAPITAL GROUP LLC
September 9, 2005 - June 3, 2008
WELLS FARGO SECURITIES, LLC
March 23, 1999 - September 16, 2005
UBS SECURITIES LLC
September 1, 1998 - January 12, 2001
CITIGROUP GLOBAL MARKETS INC.
October 1, 1997 - October 26, 1998
BANC OF AMERICA SECURITIES LLC
February 18, 1997 - October 1, 1997
MONTGOMERY SECURITIES
July 29, 1996 - September 1, 1998
SALOMON BROTHERS INC.
August 4, 1993 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
August 4, 1993 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
January 25, 1993 - August 12, 1996
LEHMAN BROTHERS INC.
September 19, 1989 - January 29, 1993
SALOMON BROTHERS 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 6/27/2019
Investment Banking Registered Representative ExaminationSeries 55
Date: 2/15/2005
Limited Representative-Equity Trader ExamCurrent Firm
REGIONS SECURITIES LLC
CRD#: 159475 / SEC#: , 8-68990
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RFC FINANCIAL SERVICES HOLDING LLC | PARENT | |
| AMIN, RITVIG NIPENDRA | CHAIRMAN OF THE BOARD & DIRECTOR | 2901218 |
| GIARDINO, NEIL | CEO, PRESIDENT AND DIRECTOR | 2428962 |
| HOLLOWAY, GLENN CHRISTOPHER | FINOP, CFO, PFO, POO & DIRECTOR | 4566759 |
| MAGGIORE, JILL WRIGHT | CHIEF COMPLIANCE OFFICER & DIRECTOR | 1001068 |
| MAXWELL, JASON MATTHEW | CHIEF LEGAL OFFICER & DIRECTOR | 5997125 |
Disclosures
| Regulatory Event | 1 |
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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