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CH

Chris Heasman

Some features on this profile are disabled
CRD#: 2936976
CH

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.

Chris Heasman was a registered financial professional .

Chris is a previously registered financial professional and started their career in finance in 2000. Chris had worked at 5 firms and has passed the Series 63, Series 66, Series 82TO, SIE, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

November 13, 2023 - December 18, 2023

YOUNG AMERICA CAPITAL, LLC

BD
CRD#: 150443
MAMARONECK, NY
Past

September 27, 2019 - November 13, 2023

YOUNG AMERICA CAPITAL, LLC

BD
CRD#: 150443
MAMARONECK, NY
Past

April 1, 2004 - April 13, 2016

LAZARD ASSET MANAGEMENT SECURITIES LLC

BD
CRD#: 129119
NEW YORK, NY
Past

February 21, 2001 - April 1, 2004

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY
Past

November 27, 2000 - February 14, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

February 9, 2000 - March 7, 2000

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY

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
RR
Series 63
Date: 7/15/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 5/14/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 9/27/2019
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 4/13/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/8/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 8/14/1997
National Commodity Futures Examination

Current Firm

YA
YOUNG AMERICA CAPITAL, LLC
YOUNG AMERICA CAPITAL, LLC

CRD#: 150443 / SEC#: , 8-68260

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
141 East Boston Post Road, Mamaroneck, NY 10543
Mailing Address
141 East Boston Post Road, Mamaroneck, NY 10543
Phone number
(914) 777-0100
Established
Delaware since 05/08/2000
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORMANEK, PETER JAMESMANAGING MEMBER
FORMANEK, PETER JAMESFINANCIAL PRINCIPAL
FORMANEK, PETER JAMESCFO
FORMANEK, PETER JAMESCCO, AMLCO

Disclosures

Regulatory Event1

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

YOUNG AMERICA CAPITAL, LLC

CRD#: 150443

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