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LH

Liam P. Heinz

Some features on this profile are disabled
CRD#: 4470644
LH

Professional summary

Liam Patrick Heinz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Liam is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Liam had worked at 11 firms, which includes EKN FINANCIAL SERVICES INC., JOHN THOMAS FINANCIAL, CALDWELL INTERNATIONAL SECURITIES, NEWBRIDGE SECURITIES CORPORATION, AURA FINANCIAL SERVICES INC., BASIC INVESTORS INC., GUNNALLEN FINANCIAL INC, BERRY-SHINO SECURITIES INC., JOSEPH STEVENS & CO. INC., J.P. TURNER & COMPANY L.L.C., W.A. CAPITAL MARKETS.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Liam Patrick Heinz

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

January 3, 2011 - March 8, 2011

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
MELVILLE, NY
Past

August 2, 2010 - December 22, 2010

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
HAUPPAUGE, NY
Past

June 22, 2010 - August 2, 2010

CALDWELL INTERNATIONAL SECURITIES

BD
CRD#: 104323
NASSAU,
Past

June 4, 2008 - June 24, 2008

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY
Past

September 18, 2007 - October 1, 2007

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
FARMINGDALE, NY
Past

May 18, 2007 - September 18, 2007

AURA FINANCIAL SERVICES, INC.

BD
CRD#: 42822
BOHEMIA, NY
Past

February 28, 2007 - April 30, 2007

BASIC INVESTORS INC.

BD
CRD#: 1187
MELVILLE, NY
Past

July 27, 2004 - December 20, 2006

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

February 18, 2004 - June 4, 2004

BERRY-SHINO SECURITIES, INC.

BD
CRD#: 38098
SCOTTSDALE, AZ
Past

September 4, 2002 - October 30, 2003

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
BROOKLYN, NY
Past

August 20, 2002 - September 27, 2002

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA
Past

November 29, 2001 - June 26, 2002

W.A. CAPITAL MARKETS

BD
CRD#: 6292
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: 1/23/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/28/2001
General Securities Representative Examination

Current Firm

EF
EKN FINANCIAL SERVICES INC.
EHRENKRANTZ KING NUSSBAUM, INC. | EKN FINANCIAL SERVICES INC.

CRD#: 113525 / SEC#: , 8-53346

BD
Cancelled by SEC on 11/20/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/16/2001
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MARGATE CAPITAL, INCPARENT COMPANY
BORGNER, RICHARD REISSCHIEF COMPLIANCE OFFICER1104666
GIUGLIANO, THOMAS MICHAELDIRECTOR2804591
OTTIMO, ANTHONY SRCHAIRMAN & DIRECTOR2974369

Disclosures

Regulatory Event18
Arbitration10
Judgment/Lien1

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

EKN FINANCIAL SERVICES INC.

CRD#: 113525

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