Dale E. Heims
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.
Dale Edmund Heims, who also goes by Dale E Heims, was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1998. Dale had worked at 3 firms and has passed the Series 63, SIE, Series 79 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
March 27, 2012 - November 24, 2015
HEADWATERS BD, LLC
December 18, 1998 - March 10, 2000
CITIGROUP GLOBAL MARKETS INC.
October 20, 1998 - December 18, 1998
CITICORP SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
HEADWATERS BD, LLC
CRD#: 117042 / SEC#: , 8-53582
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
