Calvin G. Heisler
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.
Calvin Glasco Heisler, who also goes by Cal Heisler, was a registered financial professional .
Calvin is a previously registered financial professional and started their career in finance in 1970. Calvin had worked at 7 firms and has passed the Series 63, Series 7 and PC exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 1990 - October 26, 1998
D.E. FREY & COMPANY, INC.
January 29, 1988 - October 17, 1989
PIPER SANDLER & CO.
August 5, 1986 - January 15, 1988
HANIFEN, IMHOFF INC.
July 28, 1986 - July 30, 1986
HANIFEN, IMHOFF INC.
January 26, 1979 - August 22, 1986
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 26, 1978 - May 21, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 1975 - February 25, 1979
WHITE, WELD & CO. INCORPORATED
September 11, 1970 - January 15, 1975
G. H. WALKER, LAIRD INCORPORATED
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
PC
Date: 4/17/1978
AMEX Put and Call ExamCurrent Firm
D.E. FREY & COMPANY, INC.
CRD#: 23595 / SEC#: , 8-40582
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Civil Event | 4 |
| Arbitration | 8 |
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.
