Lawrence C. Heller
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.
Lawrence C Heller, who also goes by Larry Heller, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1994. Lawrence had worked at 6 firms and has passed the Series 65, Series 66, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2017 - May 30, 2020
CASTLEVIEW PARTNERS, LLC
December 4, 2006 - November 12, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 20, 2006 - November 12, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 12, 2004 - November 3, 2006
LEHMAN BROTHERS INC.
October 4, 2001 - October 7, 2004
BESSEMER INVESTOR SERVICES, INC.
August 23, 2000 - February 12, 2001
WFG INVESTMENTS, INC.
April 5, 1994 - March 10, 1997
CITICORP INVESTMENT SERVICES
Primary Firm SEC Registration
CASTLEVIEW PARTNERS, LLC
CRD#: 281410 / SEC#: 801-106652
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
Current Firm
CASTLEVIEW PARTNERS, LLC
CRD#: 281410 / SEC#: 801-106652
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,133 |
| AUM (Assets Under Management) | $ 331,233,271 |
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.
