Frank S. Hiegel
Professional summary
Frank Stephen Hiegel was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1969. Prior to being barred, Frank has worked at 9 firms, which includes MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., PRUDENTIAL EQUITY GROUP LLC, ARKOMA MANAGEMENT CO., FRANK S. HEIGEL & CO., T. J. RANEY & SONS INC., RANEY SECURITIES COMPANY INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Frank Stephen Hiegel's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 10, 2018 - Present
HERITAGE ASSET MANAGERS, INC.
June 1, 2009 - April 20, 2018
MORGAN STANLEY
June 1, 2009 - April 20, 2018
MORGAN STANLEY
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 19, 1992 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 26, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
January 27, 1983 - July 8, 1992
PRUDENTIAL EQUITY GROUP, LLC
September 17, 1982 - February 3, 1983
ARKOMA MANAGEMENT CO.
February 8, 1982 - September 28, 1983
FRANK S. HEIGEL & CO.
December 31, 1974 - February 10, 1982
T. J. RANEY & SONS, INC.
June 6, 1969 - February 4, 1975
RANEY SECURITIES COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/10/2018)
(5/15/2018)
(5/16/2018)
Exams
Series 15
Date: 8/4/1983
Foreign Currency Options ExaminationSeries 5
Date: 4/28/1983
Interest Rate Options ExaminationSeries 1
Date: 12/16/1968
Registered Representative ExaminationSeries 12
Date: 2/19/1983
NYSE Branch Manager ExaminationSeries 00
Date: 4/26/1971
General Securities Principal ExaminationCurrent Firm
HERITAGE ASSET MANAGERS, INC.
CRD#: 134955 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 73 |
| AUM (Assets Under Management) | $ 77,760,093 |
Red Flags
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