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Christopher S. Heaphy

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CRD#: 4388977
CH

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.

Christopher Scott Heaphy was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 2002. Christopher had worked at 13 firms and has passed the Series 63, SIE, Series 25 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 19, 2013 - May 12, 2016

ILLUSTRO TRADING, LLC

BD
CRD#: 32792
NEW YORK, NY
Past

January 17, 2013 - January 30, 2015

DLB SECURITIES L.L.C.

BD
CRD#: 129354
DENVILLE, NJ
Past

September 13, 2010 - January 15, 2013

SRT SECURITIES LLC

BD
CRD#: 33725
BIRMINGHAM, MI
Past

January 20, 2010 - September 15, 2010

E&J SECURITIES CORP.

BD
CRD#: 37452
NEW YORK, NY
Past

January 5, 2010 - April 8, 2010

WALTER J. DOWD, INC.

BD
CRD#: 32701
NEW YORK, NY
Past

March 27, 2009 - May 12, 2010

TAG SECURITIES CORP.

BD
CRD#: 104076
NEW YORK, NY
Past

February 5, 2007 - January 6, 2010

LEK SECURITIES CORPORATION

BD
CRD#: 33135
NEW CITY, NY
Past

December 12, 2006 - April 16, 2009

LL PARTNERS, INC.

BD
CRD#: 32189
NEW YORK, NY
Past

February 20, 2004 - December 13, 2006

FJG SECURITIES INC.

BD
CRD#: 128384
NEW YORK, NY
Past

April 29, 2003 - February 19, 2004

GERMAN, FREDERICK JAY

BD
CRD#: 122275
NEW YORK, NY
Past

March 3, 2003 - March 14, 2003

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

May 21, 2002 - March 3, 2003

RUMSON CAPITAL, LLC

BD
CRD#: 33848
MONTEBELLO, NY
Past

February 21, 2002 - May 10, 2002

BURLINGTON CAPITAL MARKETS INC.

BD
CRD#: 26991
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/13/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/12/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 25
Date: 4/22/2004
NYSE Trading Assistant Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/2002
General Securities Representative Examination

Current Firm

IT
ILLUSTRO TRADING, LLC
ILLUSTRO TRADING, LLC | REHBERG JR, CHARLES EDWARD

CRD#: 32792 / SEC#: , 8-36202

BD
Terminated by SEC on 01/29/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 11/10/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
QUARTUCCIO, PHILIP PAULMANAGING MEMBER/ CCO/ GSP2397864
STAMOVA, ILINA SCFO/FINOP5500851

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.

Company Information

ILLUSTRO TRADING, LLC

CRD#: 32792

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