James A. Heilgeist
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.
James Andrew Heilgeist, who also goes by James A Heilgeist, Jim Andrew Heilgeist, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1998. James had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE 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 5, 2020 - September 20, 2021
EQUITY SERVICES, INC.
June 2, 2020 - September 20, 2021
EQUITY SERVICES, INC.
June 21, 2017 - February 13, 2020
MML INVESTORS SERVICES, LLC
June 16, 2017 - February 13, 2020
MML INVESTORS SERVICES, LLC
October 14, 2011 - June 22, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
October 14, 2011 - June 22, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
March 23, 2009 - October 18, 2011
CHASE INVESTMENT SERVICES CORP.
March 20, 2009 - October 18, 2011
CHASE INVESTMENT SERVICES CORP.
April 11, 2007 - March 6, 2009
FIFTH THIRD SECURITIES, INC.
April 10, 2007 - March 6, 2009
FIFTH THIRD SECURITIES, INC.
September 22, 2004 - May 17, 2007
CITICORP INVESTMENT SERVICES
April 28, 2004 - May 17, 2007
CITICORP INVESTMENT SERVICES
January 23, 2004 - May 17, 2004
WELLS FARGO CLEARING SERVICES, LLC
January 21, 2004 - May 17, 2004
WELLS FARGO CLEARING SERVICES, LLC
November 21, 2000 - January 7, 2004
CITICORP INVESTMENT SERVICES
August 20, 1998 - December 19, 2000
EDWARD JONES
Primary Firm SEC Registration
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
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 7TO
Date: 3/29/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/29/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NLV FINANCIAL CORPORATION | SHAREHOLDER | |
| ASSADI, MEHRAN | DIRECTOR & CHAIRMAN OF THE BOARD | 5270638 |
| AZARSHAHI, ATAOLLAH | PRESIDENT & CEO | 7270581 |
| COTTON, ROBERT EARL | DIRECTOR | 3085405 |
| DUNNE, REBECCA NASSAR | DIRECTOR | 3236752 |
| FRANKLIN, ROBERT | SVP, COMPLIANCE & CCO | 3213051 |
| FRAZEE, MATTHEW | DIRECTOR | 5979281 |
| KEENAN, JOHN FRANCIS | SVP, BUSINESS DEVELOPMENT | 2222699 |
| KUCINSKAS, ERIC KEITH | VP, FINOP & TREASURER | 6072823 |
| MCKENNY, IAN ANDREW | VP, CHIEF COUNSEL & SECRETARY | 5352951 |
| PALMER, REBECCA | CHIEF INFORMATION SECURITY OFFICER | 7320153 |
| TEESE, GREGORY DWIGHT | SVP, OPERATIONS, COO | 2135269 |
Regulatory assets under management
| Total Number of Accounts | 12,116 |
| AUM (Assets Under Management) | $ 2,451,252,093 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
| Bond | 1 |
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.
