Karl H. Heckenberg
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.
Karl Henry Heckenberg, who also goes by Duke Heckenberg, was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1999. Karl had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2015 - August 22, 2017
J.J.B. HILLIARD, W.L. LYONS, LLC
July 15, 2015 - August 22, 2017
J.J.B. HILLIARD, W.L. LYONS, LLC
January 6, 2012 - July 28, 2015
CHARLES SCHWAB & CO., INC.
January 5, 2012 - July 28, 2015
CHARLES SCHWAB & CO., INC.
October 26, 2010 - December 15, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 28, 2010 - December 15, 2011
TD AMERITRADE, INC.
September 3, 2010 - December 15, 2011
TD AMERITRADE, INC.
October 4, 1999 - August 15, 2003
A. G. EDWARDS & SONS, INC.
July 16, 1999 - August 15, 2003
A. G. EDWARDS & SONS, 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
J.J.B. HILLIARD, W.L. LYONS, LLC
CRD#: 453 / SEC#: 801-23120, 8-33133
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HL FINANCIAL SERVICES, LLC | MEMBER | |
| ALLEN, JAMES REID | CHAIRMAN OF THE BOARD, CEO | 1014622 |
| AMATO, ANTHONY NICHOLAS JR | PRINCIPAL OPERATIONS OFFICER | 1329288 |
| ASFAHL, DONALD LEE | EXECUTIVE VICE PRESIDENT | 2824358 |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| CUTSINGER, CHARLES JOSEPH JR. | EXECUTIVE VICE PRESIDENT | 2065360 |
| GRIMLEY, CHARLES MORRISON | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER | 1121284 |
| KAPLAN, ELIZABETH C | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4619011 |
| KESSINGER, THOMAS BURKS III | DIRECTOR, PRESIDENT | 2366538 |
| MILLER, CARMELLA RASI | CHIEF RISK OFFICER, EXECUTIVE VICE PRESIDENT | 1879379 |
| NEWMAN, ALAN HAMBURG | EXECUTIVE VICE PRESIDENT | 719981 |
| PAPACHRISTOU, NICHOLAS | CHIEF MARKETING OFFICER, EXECUTIVE VICE PRESIDENT | 6464162 |
| PURCELL, PAUL EDWARD | DIRECTOR | 844873 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| WHITE, JALEIGH JEFFERS | EXECUTIVE VICE PRESIDENT | 5950788 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 31 |
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.
