Robert B. Heppe
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 Bruce Heppe, who also goes by Bob Heppe, Robert B Heppe, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 5 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2009 - January 2, 2013
WILBANKS SECURITIES, INC.
January 1, 2004 - November 10, 2005
CETERA ADVISORS LLC
January 1, 2004 - December 31, 2008
CETERA ADVISORS LLC
December 7, 1999 - January 1, 2004
VESTAX SECURITIES CORPORATION
June 10, 1996 - January 1, 2004
VESTAX SECURITIES CORPORATION
June 6, 1994 - June 17, 1996
WMA SECURITIES, INC.
July 21, 1993 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
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
WILBANKS SECURITIES, INC.
CRD#: 40673 / SEC#: , 8-49134
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
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.
