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AH

Aaron L. Heimowitz

CRD#: 241866
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AH
Aaron Leonard Heimowitz

Professional summary

Aaron Leonard Heimowitz was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Aaron Leonard Heimowitz was a registered financial advisor .

Aaron is a previously registered financial advisor and started their career in finance in 1965. Aaron had worked at 18 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, PC, Series 24 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 29, 2014 - December 2, 2014

HEROLD & LANTERN INVESTMENTS, INC.

BD
CRD#: 30996
MELVILLE, NY
Past

June 21, 2012 - May 29, 2014

GLOBAL ARENA CAPITAL CORP

BD
CRD#: 16871
NEW YORK, NY
Past

April 22, 2008 - June 22, 2012

NEWPORT COAST SECURITIES, INC.

RIA
CRD#: 16944
KEW GARDENS, NY
Past

April 21, 2008 - June 22, 2012

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
KEW GARDENS, NY
Past

June 29, 2007 - July 18, 2007

WEDBUSH SECURITIES INC.

RIA
CRD#: 877
PASADENA, CA
Past

June 29, 2007 - July 18, 2007

WEDBUSH SECURITIES INC.

BD
CRD#: 877
PASADENA, CA
Past

June 28, 2007 - December 18, 2007

REGAL ADVISORY SERVICES, INC.

RIA
CRD#: 123842
GLENVIEW, IL
Past

June 28, 2007 - May 14, 2008

REGAL SECURITIES, INC.

BD
CRD#: 7297
KEW GARDENS, NY
Past

May 22, 2002 - July 3, 2007

BROOKSTREET SECURITIES CORPORATION

RIA
CRD#: 14667
KEW GARDENS, NY
Past

May 8, 2001 - July 3, 2007

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
KEW GARDENS, NY
Past

March 31, 2000 - April 25, 2001

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

September 29, 1993 - February 11, 2000

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

July 29, 1988 - September 9, 1993

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

May 16, 1984 - July 22, 1988

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

May 17, 1979 - May 22, 1984

L. F. ROTHSCHILD & CO. INCORPORATED

BD
CRD#: 501
Past

January 18, 1978 - June 10, 1979

LOEB PARTNERS

BD
CRD#: 7534
Past

May 5, 1977 - January 18, 1978

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

BD
CRD#: 7394
Past

April 1, 1977 - May 5, 1977

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

BD
CRD#: 412
Past

June 29, 1976 - April 24, 1977

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
Past

April 28, 1976 - July 28, 1976

MOSELEY, HALLGARTEN & ESTABROOK INC

BD
CRD#: 7501
Past

September 10, 1974 - April 28, 1976

MOSELEY, HALLGARTEN & ESTABROOK INC.

BD
CRD#: 6679
Past

January 8, 1965 - July 9, 1975

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

BD
CRD#: 412

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/11/2002
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/3/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/23/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/2/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 3/7/1994
Futures Managed Funds Examination
General Industry/Product Exam
RR
PC
Date: 8/28/1979
AMEX Put and Call Exam
Principal/Supervisory Exam
RR
Series 24
Date: 7/18/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 3/6/1975
Registered Principal Examination

Current Firm

H&
HEROLD & LANTERN INVESTMENTS, INC.
HEROLD & LANTERN INVESTMENTS, INC. | LANTERN INVESTMENTS, INC.

CRD#: 30996 / SEC#: , 8-45285

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Mailing Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Phone number
(631) 454-2000
Established
Delaware since 08/28/1992
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PERCHERON ASSET MANAGEMENT GROUP, INC.OWNER
HEROLD, LAWRENCE STEPHENCHIEF OPERATING OFFICER/FINOP870531
LANTON, KEITH MICHAELPRESIDENT1703378
SHEFTEL, WENDY DIANECHIEF COMPLIANCE OFFICER2300282

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.

Company Information

HEROLD & LANTERN INVESTMENTS, INC.

CRD#: 30996

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