John D. Heppolette
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.
John Desmond Heppolette, who also goes by John D Heppolette, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 3 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 7, Series 10, Series 53 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
June 10, 1999 - March 27, 2006
SALOMON REINVESTMENT COMPANY INC
June 10, 1999 - June 25, 2024
CITIGROUP GLOBAL MARKETS INC.
December 20, 1993 - February 8, 1995
LAZARD FRERES & CO. 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
SALOMON REINVESTMENT COMPANY INC
CRD#: 39213 / SEC#: , 8-48599
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP FINANCIAL PRODUCTS INC. | 100% SHAREHOLDER | |
| COLEMAN, THOMAS SEDGWICK | DIRECTOR | |
| FRIEDENRICH, SCOTT H | DIRECTOR | |
| HEPPOLETTE, JOHN DESMOND | PRESIDENT | 2383239 |
| HOROWITZ, GEDALE BOB | DIRECTOR | 250383 |
| KRIEGER, FREDERIC MICHAEL | INTERIM CHIEF COMPLIANCE OFFICER | 2194757 |
| MILONE, CHARLES | CFO/FIN. OP. PRINCIPAL | 1676804 |
| SABINO, MARC | EXECUTIVE VICE PRESIDENT | |
| SINGLETON, JOHN MATTHEW | DIRECTOR |
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.
