Adina B. Heiss
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.
Adina Barbara Heiss, who also goes by Adina Barbara Kanter, was a registered financial professional .
Adina is a previously registered financial professional and started their career in finance in 2004. Adina had worked at 7 firms and has passed the Series 63 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2013 - June 10, 2015
JOSEPH STONE CAPITAL L.L.C.
April 23, 2012 - February 26, 2013
FIRST MIDWEST SECURITIES, INC.
August 8, 2011 - October 13, 2011
CHARLES VISTA LLC
March 18, 2009 - March 28, 2011
JOHN THOMAS FINANCIAL
December 20, 2005 - April 3, 2009
LADENBURG THALMANN & CO. INC.
July 27, 2005 - December 2, 2005
CITIGROUP GLOBAL MARKETS INC.
August 24, 2004 - April 25, 2005
DAVID LERNER ASSOCIATES, 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
Series 11
Date: 8/23/2004
Assistant Representative-Order Processing Qualification ExamCurrent Firm
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
