Heather A. Carava
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.
Heather Ann Carava, who also goes by Heather Ann Volkening, Heather Volkening, was a registered financial professional .
Heather is a previously registered financial professional and started their career in finance in 2000. Heather had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2015 - January 30, 2015
LASALLE ST SECURITIES, L.L.C.
April 17, 2012 - December 31, 2012
LASALLE ST SECURITIES, L.L.C.
April 21, 2004 - May 11, 2010
BELLEVUE CHICAGO, LLC
February 6, 2003 - April 16, 2004
LASALLE ST SECURITIES, L.L.C.
January 25, 2001 - August 15, 2001
TD AMERITRADE, INC.
June 26, 2000 - December 22, 2000
PRUCO 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
LASALLE ST SECURITIES, L.L.C.
CRD#: 7191 / SEC#: , 8-18860
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 15 |
| Arbitration | 4 |
| 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.
