Lee M. Heiss
Professional summary
Lee Michael Heiss was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lee is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Lee had worked at 2 firms, which includes CHIMERA SECURITIES LLC, HEARTLAND SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2011 - May 13, 2013
CHIMERA SECURITIES, LLC
June 7, 2000 - February 1, 2001
HEARTLAND SECURITIES CORP.
State Registrations and Notice Filings
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Exams
Series 56
Date: 10/21/2011
Proprietary Trader Qualification ExaminationSeries 55
Date: 7/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
CHIMERA SECURITIES, LLC
CRD#: 147566 / SEC#: , 8-67915
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
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