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AH

Arthur L. Heffelfinger

Some features on this profile are disabled
CRD#: 2168013
AH

Professional summary

Arthur Leroy Heffelfinger was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Arthur is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, Arthur had worked at 4 firms, which includes KMS FINANCIAL SERVICES INC., CITIGROUP GLOBAL MARKETS INC., SIGNATOR FINANCIAL SERVICES INC., A. G. EDWARDS & SONS INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Arthur L Heffelfinger

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 16, 2001 - September 23, 2009

KMS FINANCIAL SERVICES, INC.

RIA
CRD#: 3866
CLANCY, MT
Past

February 20, 2001 - September 23, 2009

KMS FINANCIAL SERVICES, INC.

BD
CRD#: 3866
CLANCY, MT
Past

October 15, 1999 - March 6, 2001

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 20, 1994 - October 15, 1999

KMS FINANCIAL SERVICES, INC.

BD
CRD#: 3866
SEATTLE, WA
Past

February 23, 1994 - September 30, 1994

SIGNATOR FINANCIAL SERVICES, INC.

BD
CRD#: 19061
BOSTON, MA
Past

October 7, 1991 - May 25, 1993

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/14/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/22/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/3/1991
General Securities Representative Examination

Current Firm

KF
KMS FINANCIAL SERVICES, INC.
KMS FINANCIAL SERVICES, INC | KMS FINANCIAL SERVICES, INC.

CRD#: 3866 / SEC#: 801-11375, 8-15433

BD
Terminated by SEC on 01/17/2021
PREMIUM
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Contact information

Main Address
2001 Sixth Ave Ste 2801, Seattle, WA 98121
Mailing Address
Phone number
Established
Washington since 11/21/1969
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

KMS ADV PART 2A BROCHURE 10-16-2020 (10/16/2020)
KMS APPENDIX 1 WRAP BROCHURE 10-16-2020 (10/16/2020)

Direct owners and executive officers

NamePositionCRD#
ADVISOR GROUP HOLDINGS, INC.SHAREHOLDER
BRETON, BERNARD ANDRECHIEF COMPLIANCE OFFICER2030660
FORD, ERINN JUNEPRESIDENT & CEO2176816
HARRINGTON, LINDA LEEVICE PRESIDENT OF ADVISORY COMPLIANCE4173014
SIMS, JEFFREY SCOTTCFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER3247374
ZELLERHOFF, MARK CHRISTOPHERSENIOR VICE PRESIDENT OF OPERATIONS2853977

Disclosures

Regulatory Event12
Arbitration3
Bond2

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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Company Information

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

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