Arthur L. Heffelfinger
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2001 - September 23, 2009
KMS FINANCIAL SERVICES, INC.
February 20, 2001 - September 23, 2009
KMS FINANCIAL SERVICES, INC.
October 15, 1999 - March 6, 2001
CITIGROUP GLOBAL MARKETS INC.
September 20, 1994 - October 15, 1999
KMS FINANCIAL SERVICES, INC.
February 23, 1994 - September 30, 1994
SIGNATOR FINANCIAL SERVICES, INC.
October 7, 1991 - May 25, 1993
A. G. EDWARDS & SONS, 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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
