Heber K. Brunnemer
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.
Heber Keith Brunnemer JR was a registered financial professional .
Heber is a previously registered financial professional and started their career in finance in 1968. Heber had worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, Series 7TO, SIE, Series 1, Series 53, Series 24, Series 28, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 1995 - July 14, 1995
NATIONAL CITY INVESTMENTS CORPORATION
February 24, 1993 - February 6, 1995
WARD BRADFORD & CO., L.P.
February 4, 1991 - February 2, 1995
J.C. BRADFORD & CO.
February 10, 1977 - November 2, 2023
FIRST TRYON SECURITIES, LLC
July 15, 1968 - February 22, 1977
WACHOVIA SECURITIES, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 7/10/1968
Registered Representative ExaminationSeries 28
Date: 4/24/1996
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 8/14/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 2/24/1972
Registered Principal ExaminationCurrent Firm
NATIONAL CITY INVESTMENTS CORPORATION
CRD#: 17365 / SEC#: , 8-35167
Contact information
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.
