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JH

Jason Heldman

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CRD#: 2573152
JH

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.

Jason Heldman, who also goes by Jason C Heldman, was a registered financial professional .

Jason is a previously registered financial professional and started their career in finance in 1995. Jason had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jason C Heldman

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

December 19, 2013 - April 17, 2014

WTS PROPRIETARY TRADING GROUP LLC

BD
CRD#: 148117
NEW YORK, NY
Past

October 1, 2012 - August 22, 2013

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
CARMEL, IN
Past

October 1, 2012 - August 22, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CARMEL, IN
Past

September 7, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
CARMEL, IN
Past

August 19, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CARMEL, IN
Past

May 2, 2008 - December 16, 2008

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
LOS ANGELES, CA
Past

January 29, 2001 - December 3, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

October 28, 1997 - January 25, 2001

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

August 14, 1996 - May 1, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 14, 1995 - August 2, 1996

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
CLEVELAND, OH
Past

January 10, 1995 - July 14, 1995

RAFFENSPERGER, HUGHES & CO., INC.

BD
CRD#: 699
INDIANAPOLIS, IN

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
IAR
Series 65
Date: 9/2/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/11/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/1/2008
General Securities Representative Examination

Current Firm

WP
WTS PROPRIETARY TRADING GROUP LLC
WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117 / SEC#: , 8-67986

BD
Terminated by SEC on 03/06/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/09/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WTS PTG HOLDINGS, LLCOWNER
CLARK, CHESTER EDMONDCEO2486219
DISCENZA, PETER VINCENT JRCHIEF COMPLIANCE OFFICER4386342
JONES, WILLIAM RUSSELLOPERATIONS MANAGER2948251
LI, XIAOYANFINOP4465893

Disclosures

Regulatory Event6

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

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117

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