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KH

Kummel J. Heir

Some features on this profile are disabled
CRD#: 2421329
KH

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.

Kummel Jit Heir was a registered financial professional .

Kummel is a previously registered financial professional and started their career in finance in 1994. Kummel had worked at 4 firms and has passed the Series 63, Series 22 and Series 6 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

January 1, 1998 - November 16, 2007

LIGHTHOUSE CAPITAL CORPORATION

BD
CRD#: 41812
SAN JOSE, CA
Past

October 31, 1995 - March 18, 1998

SAN CLEMENTE SECURITIES, INC.

BD
CRD#: 21895
SAN CLEMENTE, CA
Past

March 1, 1994 - July 11, 1995

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

March 1, 1994 - July 11, 1995

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

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
Series 63
Date: 3/15/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22
Date: 9/10/2005
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/28/1994
Investment Company Products/Variable Contracts Representative Examination

Current Firm

LC
LIGHTHOUSE CAPITAL CORPORATION
LIGHTHOUSE CAPITAL CORPORATION | MAYNARD & ASSOCIATES | LIGHTHOUSE INVESTMENT ADVISORS, LLC

CRD#: 41812 / SEC#: , 8-49576

BD
Terminated by SEC on 02/21/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 01/12/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ZAMECKI, ROBERT JOHNSHAREHOLDER, PRESIDENT, CEO, CCO475757
DACUMOS, MARY ELLENFINANCIAL OPERATIONS OFFICER1141623

Disclosures

Regulatory Event4
Arbitration1

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

LIGHTHOUSE CAPITAL CORPORATION

CRD#: 41812

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