Ronald M. Heineman
Professional summary
Ronald Mark Heineman was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ronald is a previously registered financial professional and started their career in finance in 1972. Prior to being barred, Ronald had worked at 19 firms, which includes HALCYON CABOT PARTNERS LTD., MCBARRON CAPITAL LLC, ALEXANDER WESCOTT & CO. INC., GLOBAL ACCESS FINANCIAL SERVICES, TARPON SCURRY INVESTMENTS INC., ARJENT LTD., KIRLIN SECURITIES INC., ATLANTIC GENERAL FINANCIAL CORP., TRIPP & CO. INC., ROMA FINANCIAL LIMITED, APPLE FINANCIAL CORPORATION, BEVILL BRESLER & SCHULMAN INCORPORATED, BRUNS NORDEMAN REA & CO., LEHMAN BROTHERS INC., ROONEY PACE INC., STATE STREET SECURITIES INC., RICHARD FRANKLIN INC., HIBBARD & O'CONNOR SECURITIES INC., UMIC INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2010 - October 6, 2015
HALCYON CABOT PARTNERS, LTD.
February 7, 2007 - September 8, 2010
MCBARRON CAPITAL LLC
May 23, 2001 - May 25, 2001
ALEXANDER, WESCOTT, & CO., INC.
February 2, 2000 - March 6, 2000
GLOBAL ACCESS FINANCIAL SERVICES
February 2, 2000 - April 24, 2000
TARPON SCURRY INVESTMENTS, INC.
June 14, 1997 - August 21, 2008
ARJENT LTD.
September 26, 1995 - June 5, 1997
KIRLIN SECURITIES INC.
May 20, 1991 - August 25, 1995
ATLANTIC GENERAL FINANCIAL CORP.
October 20, 1989 - June 7, 1991
TRIPP & CO., INC.
June 29, 1988 - September 19, 1989
ROMA FINANCIAL, LIMITED
March 3, 1982 - December 19, 1989
APPLE FINANCIAL CORPORATION
September 23, 1981 - March 23, 1982
BEVILL, BRESLER & SCHULMAN INCORPORATED
January 27, 1981 - September 4, 1981
BRUNS, NORDEMAN, REA & CO.
April 9, 1980 - February 23, 1981
LEHMAN BROTHERS INC.
June 27, 1979 - April 10, 1980
ROONEY, PACE INC.
January 11, 1978 - February 23, 1982
STATE STREET SECURITIES, INC.
October 10, 1974 - November 30, 1977
RICHARD FRANKLIN, INC.
August 2, 1973 - November 30, 1974
HIBBARD & O'CONNOR SECURITIES, INC.
January 6, 1972 - July 28, 1972
UMIC, INC.
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 5
Date: 11/18/1981
Interest Rate Options ExaminationSeries 1
Date: 9/26/1969
Registered Representative ExaminationSeries 00
Date: 12/23/1971
General Securities Principal ExaminationCurrent Firm
HALCYON CABOT PARTNERS, LTD.
CRD#: 32664 / SEC#: , 8-28702
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
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