Adam C. Heng
Professional summary
Adam Chamroeurn Heng was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Adam is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Adam had worked at 11 firms, which includes PRESTIGE FINANCIAL CENTER INC., CARLTON CAPITAL INC., CLARK STREET CAPITAL INC., BERRY-SHINO SECURITIES INC., LEGEND MERCHANT GROUP INC., THE THORNWATER COMPANY L.P., J.P. TURNER & COMPANY L.L.C., MERIT CAPITAL ASSOCIATES INC., FIRST SECURITY INVESTMENTS INC., MILLENNIUM SECURITIES CORP., DALTON KENT SECURITIES GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2005 - May 4, 2005
PRESTIGE FINANCIAL CENTER, INC.
September 9, 2004 - February 7, 2005
CARLTON CAPITAL INC.
November 4, 2003 - July 23, 2004
CLARK STREET CAPITAL, INC.
February 7, 2003 - November 4, 2003
BERRY-SHINO SECURITIES, INC.
November 14, 2002 - February 7, 2003
LEGEND MERCHANT GROUP, INC.
August 13, 2002 - December 6, 2002
THE THORNWATER COMPANY, L.P.
May 10, 2002 - October 22, 2002
J.P. TURNER & COMPANY, L.L.C.
March 21, 2001 - August 1, 2001
BERRY-SHINO SECURITIES, INC.
August 30, 2000 - December 22, 2000
MERIT CAPITAL ASSOCIATES, INC.
May 28, 1999 - May 12, 2000
FIRST SECURITY INVESTMENTS, INC.
August 10, 1998 - June 24, 1999
MILLENNIUM SECURITIES CORP.
September 18, 1997 - March 10, 1998
DALTON KENT SECURITIES GROUP, 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
PRESTIGE FINANCIAL CENTER, INC.
CRD#: 30407 / SEC#: , 8-44919
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT PRESTIGE, LLC | OWNER | |
| KIRSHBAUM, LAWRENCE GARY | PRESIDENT/CHIEF FINANCIAL OFFICER/FINOP/CCO | 270856 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 7 |
Red Flags
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