Douglas J. Heun
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.
Douglas John Heun, CFP® was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2000. Douglas had worked at 6 firms and has passed the Series 6 exam.
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 - December 31, 2021
THBC LIMITED LIABILITY COMPANY
January 18, 2011 - December 31, 2012
THBC LIMITED LIABILITY COMPANY
October 24, 2005 - April 7, 2009
CETERA INVESTMENT ADVISERS LLC
October 24, 2005 - April 7, 2009
CETERA FINANCIAL SPECIALISTS LLC
June 26, 2002 - October 24, 2005
C.J.M. ASSET MANAGEMENT, LLC
November 28, 2000 - October 24, 2005
C. J. M. PLANNING CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THBC LIMITED LIABILITY COMPANY
CRD#: 169891 / SEC#:
Contact information
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.
