Christopher D. Cercy

HEG SECURITIES

GREENWICH, CT 06830

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CRD#: 4459339

Professional summary

Christopher Daniel Cercy is a registered financial professional currently at HEG SECURITIES, LLC located in Greenwich, Connecticut.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2001. Christopher has worked at 4 firms and has passed the Series 63, Series 52TO, SIE, Series 3, Series 7, Series 21, Series 25 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Christopher Daniel Cercy's CRS (Customer Relationship Summary).

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

Current

September 23, 2024 - Present

HEG SECURITIES, LLC

Office #1: 660 Steamboat Road 4th Floor, Greenwich, CT 06830

CRD#: 330096

GREENWICH, CT

Past

October 24, 2005 - June 22, 2023

CANTOR FITZGERALD & CO.

CRD#: 134

Greenwich, CT

Past

January 1, 2005 - June 6, 2005

MARWOOD GROUP

CRD#: 117015

NEW YORK, NY

Past

October 1, 2001 - September 3, 2004

BANC OF AMERICA SPECIALIST, INC.

CRD#: 103971

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(9/25/2024)

Exams

State Security Law Exam

Series 63

Date: 3/24/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/20/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/23/2004

General Securities Representative Examination

General Industry/Product Exam

Series 21

Date: 5/11/2004

NYSE Front Line Specialist Clerk

General Industry/Product Exam

Series 25

Date: 7/16/2003

NYSE Trading Assistant Examination

Principal/Supervisory Exam

Series 24

Date: 12/21/2015

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HEG SECURITIES, LLC

CRD#: 330096 / SEC#: , 8-71212

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

660 Steamboat Road 4th Floor, Greenwich, CT 06830

Mailing Address

660 Steamboat Road 4th Floor, Greenwich, CT 06830

Phone number

(203) 971-0730

Established

Delaware since 11/29/2023

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HEG FINANCIAL, LLC	PARENT
BOND, JAMES MICHAEL	CHIEF COMPLIANCE OFFICER	4714631
CERCY, CHRISTOPHER DANIEL	CHIEF EXECUTIVE OFFICER	4459339
STAMOVA, ILINA	PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, AND FINOP	5500851

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Christopher D. Cercy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Daniel Cercy's CRS (Customer Relationship Summary).

Certified licenses

Experience

CANTOR FITZGERALD & CO.

MARWOOD GROUP

BANC OF AMERICA SPECIALIST, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/24/2005

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 2/20/2008

Series 7

Date: 12/23/2004

Series 21

Date: 5/11/2004

Series 25

Date: 7/16/2003

Series 24

Date: 12/21/2015

FINRA

Current Firm

HEG SECURITIES, LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

HEG SECURITIES, LLC

TRUST BUT VERIFY

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