Christopher R. Heffernan
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 Richard Heffernan, who also goes by Chris Richard Heffernan, Chris Heffernan, Christopher R Heffernan, Christopher Heffernan, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2002. Christopher had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7 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
February 26, 2019 - May 10, 2023
FLOW TRADERS U.S. INSTITUTIONAL TRADING LLC
May 2, 2011 - September 25, 2018
SUMRIDGE PARTNERS, LLC
April 5, 2010 - April 25, 2011
GLEACHER & COMPANY SECURITIES, INC.
June 1, 2009 - April 12, 2010
MORGAN STANLEY
July 19, 2004 - October 1, 2009
MORGAN STANLEY & CO. LLC
March 8, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
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 ExaminationCurrent Firm
FLOW TRADERS U.S. INSTITUTIONAL TRADING LLC
CRD#: 282266 / SEC#: , 8-69711
Contact information
FINRA licenses (13 States and Territories)
Documents
Direct owners and executive officers
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.
