James J. Heffers
Professional summary
James Jerome Heffers SR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1973. Prior to being barred, James had worked at 11 firms, which includes FORTUNE FINANCIAL SERVICES INC., TRANSAMERICA FINANCIAL ADVISORS INC., PAN-AMERICAN FINANCIAL ADVISERS, AMERICAN CAPITAL CORPORATION, AMERICAN GENERAL EQUITY SERVICES CORPORATION, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC., BRYN MAWR SECURITIES INC., LINCOLN NATIONAL PENSION INSURANCE COMPANY, OSAIC FA INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2010 - November 15, 2010
FORTUNE FINANCIAL SERVICES, INC.
January 5, 2007 - December 31, 2009
FORTUNE FINANCIAL SERVICES, INC.
January 14, 2003 - December 31, 2006
TRANSAMERICA FINANCIAL ADVISORS, INC.
December 16, 2001 - December 31, 2002
PAN-AMERICAN FINANCIAL ADVISERS
March 18, 1997 - December 16, 2001
AMERICAN CAPITAL CORPORATION
January 6, 1997 - January 28, 1997
AMERICAN CAPITAL CORPORATION
March 28, 1991 - December 31, 1996
TRANSAMERICA FINANCIAL ADVISORS, INC.
May 11, 1990 - April 8, 1991
AMERICAN GENERAL EQUITY SERVICES CORPORATION
January 12, 1990 - March 1, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 12, 1990 - March 1, 1990
PRUCO SECURITIES, LLC.
August 6, 1987 - December 22, 1989
BRYN MAWR SECURITIES INC.
July 10, 1985 - May 26, 1987
LINCOLN NATIONAL PENSION INSURANCE COMPANY
July 10, 1985 - May 30, 1987
OSAIC FA, INC.
December 28, 1981 - April 15, 1985
LINCOLN NATIONAL PENSION INSURANCE COMPANY
November 14, 1978 - May 30, 1987
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 2, 1973 - June 14, 1979
AMERICAN GENERAL EQUITY SERVICES CORPORATION
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 1
Date: 6/20/1973
Registered Representative ExaminationCurrent Firm
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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