Thomas J. Heaphy
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.
Thomas Joseph Heaphy JR, who also goes by Thomas J Heaphy, Thomas Joseph Heaphy, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1996. Thomas had worked at 16 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2010 - April 13, 2011
FORGE FINANCIAL GROUP, INC.
August 27, 2008 - May 26, 2009
SCOTTSDALE CAPITAL ADVISORS CORP
March 20, 2007 - September 4, 2008
BROOKSTONE SECURITIES, INC.
May 8, 2006 - March 23, 2007
NEWBRIDGE SECURITIES CORPORATION
May 4, 2005 - June 2, 2006
DAWSON JAMES SECURITIES, INC.
August 30, 2004 - May 27, 2005
J.P. TURNER & COMPANY, L.L.C.
April 26, 2004 - July 19, 2004
GUNNALLEN FINANCIAL, INC
March 23, 2004 - April 21, 2004
GUNNALLEN FINANCIAL, INC
May 27, 2003 - February 12, 2004
NATIONAL SECURITIES CORPORATION
March 28, 2003 - May 14, 2003
GUNNALLEN FINANCIAL, INC
November 26, 2001 - March 12, 2003
GIT SECURITIES CORPORATION
July 24, 2001 - December 6, 2001
CONTINENTAL BROKER-DEALER CORP.
February 2, 2001 - August 3, 2001
SALOMON GREY FINANCIAL CORPORATION
April 1, 1999 - December 21, 2000
WHITEHALL WELLINGTON INVESTMENTS, INC.
July 17, 1998 - April 2, 1999
D.L. CROMWELL INVESTMENTS, INC.
February 26, 1998 - June 10, 1998
TASIN & COMPANY, INC.
January 10, 1997 - January 22, 1998
DUKE & CO., INC.
March 7, 1996 - December 18, 1996
STRATTON OAKMONT 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
Current Firm
FORGE FINANCIAL GROUP, INC.
CRD#: 100020 / SEC#: , 8-52015
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
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.
