Jeffrey S. Heimann
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.
Jeffrey Scott Heimann, who also goes by Jeff Heimann, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1999. Jeffrey had worked at 4 firms and has passed the Series 63, 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
February 6, 2018 - April 10, 2019
TFA SECURITIES, INC.
October 19, 2010 - March 8, 2016
TFA SECURITIES, INC.
March 2, 2009 - April 8, 2010
INNOVATION CAPITAL, LLC
March 11, 1999 - February 17, 2009
BANC OF AMERICA SECURITIES LLC
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
TFA SECURITIES, INC.
CRD#: 284982 / SEC#: , 8-69822
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
