Cyrus R. Heaton
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.
Cyrus Robert Heaton JR., who also goes by Robert C. Heaton, was a registered financial professional .
Cyrus is a previously registered financial professional and started their career in finance in 2003. Cyrus had worked at 1 firm and has passed the Series 99TO, Series 79TO, SIE, Series 7, Series 14 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
May 12, 2003 - January 10, 2025
M3 INVESTMENT GROUP 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
M3 INVESTMENT GROUP LLC
CRD#: 108888 / SEC#: , 8-53097
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GARRET C HOUSE REVOCABLE TRUST DATED JUNE 9, 2001 | CLASS C AND D OWNER | |
| HARDICK, RORY ALAN | OWNER, TRUSTEE OF INTEREST IN POSSESSION SETTLEMENT CREATED BY RORY HARDICK | 4327559 |
| HOUSE, GARRET CLAUDE | TRUSTEE OF GARRET C HOUSE REVOCABLE TRUST DATED JUNE 9, 2001 | 1735936 |
| SUTER, DONALD E | CLASS C OWNER, CEO, CFO | 2765488 |
| VALLACE, CHRISTOPHER JAMES SR | CLASS C OWNER | 2274577 |
| HRM TRUST | TRUST, CLASS C & D OWNER | |
| MEYER, ROBERT IAN | TRUSTEE OF HRM TRUST | 4786182 |
| THAKORE, TRISHUL VIPUL | CLASS D OWNER | 5817525 |
| AARON, MICHAEL A | CLASS D OWNER | 4279459 |
| ARDU, PINA | CLASS D OWNER | 6625861 |
| BRAZDA, TODD ANDREW | CLASS C OWNER | 5149615 |
| CONWAY, THOMAS DANIEL | CLASS C & D OWNER | 3039343 |
| CULVER, THOMAS CROMWELL | CLASS C OWNER | 5853242 |
| DANIEL P POEHLING IRREVOCABLE TRUST | CLASS C OWNER | |
| INTEREST IN POSSESSION TRUST OF RORY ALAN HARDICK AND PATRICIA ANN HARDICK | TRUST, CLASS C OWNER | |
| KIRA M. AND HUNTER P. SCHENK JOINT REVOCABLE TRUST | CLASS C OWNER | |
| MALLERIS, ANDREW JAMES | CHIEF COMPLIANCE OFFICER | 5959083 |
| MCCARNEY, HAROLD | CLASS D OWNER | 6625894 |
| PATEL, RISHI | CLASS D OWNER | 6625906 |
| POEHLING, DANIEL PAUL | TRUSTEE OF DANIEL P POEHLING IRREVOCABLE TRUST | 4433050 |
| POON, CHARADE SIN WAI | CLASS D OWNER | 7368721 |
| SCHEIDERICH, ELIZABETH ASHLEY | CLASS D OWNER | 6096714 |
| SCHENK, HUNTER PRESCOTT | HUNTER P. SCHENK REVOCABLE TRUST | 5319507 |
| ZHANG, ROBBIE LIANG | CLASS D OWNER | 7368795 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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