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HS

Heather N. Sfyris

FIRST SOUTHERN
Alpharetta, GA 30005
Some features on this profile are disabled
CRD#: 4538060
HS

Professional summary

Heather Nicole Sfyris, who also goes by Heather Nicole Macon, is a registered financial professional currently at FIRST SOUTHERN, LLC located in Alpharetta, Georgia.

Heather is registered as a RR (Registered Representative) and started their career in finance in 2002. Heather has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Heather Nicole Macon

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 Heather Nicole Sfyris's CRS (Customer Relationship Summary).
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

January 15, 2020 - Present

FIRST SOUTHERN, LLC

Office #1: 1720 Windward Concourse, Suite 115, Alpharetta, GA 30005
BD
CRD#: 282756
Alpharetta, GA
Past

January 21, 2014 - October 5, 2020

FIRST SOUTHERN SECURITIES, LLC.

BD
CRD#: 153133
ALPHARETTA, GA
Past

January 5, 2006 - August 8, 2012

SCOTT & STRINGFELLOW, LLC

BD
CRD#: 6255
ALPHARETTA, GA
Past

October 2, 2002 - January 12, 2006

BERGEN CAPITAL, INC.

BD
CRD#: 46348
HASBROUCK HEIGHTS, NJ

State Registrations and Notice Filings

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

RR
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

RR
Georgia
(1/15/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 12/30/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/24/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/11/2006
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/30/2006
General Securities Sales Supervisor - General Module Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FIRST SOUTHERN, LLC
ESH CAPITAL, LLC | GLOBAL SILICON VALLEY SECURITIES LLC | FIRST SOUTHERN, LLC

CRD#: 282756 / SEC#: , 8-69733

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
2 Tabonuco Street, Suite 200, Guaynabo, PR 00968-1772
Mailing Address
2 Tabonuco Street, Suite 200, Guaynabo, PR 00968-1772
Phone number
(770) 777-9373
Established
Puerto Rico since 02/24/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (35 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BENT, INC.SHAREHOLDER
HEEHAW INC.SHAREHOLDER
VSPR, INC.SHAREHOLDER
PAGAN MARXUACH, RAFAEL ANTONIOOWNER2863850
HAWK, WILLIAM HEATHPRESIDENT/CEO/MANAGING MEMBER2494928
JACKELS, STEPHANIE KANEFINOP/PFO5928877
JONES, SHARON DOSTERCHIEF COMPLIANCE OFFICER3124470
SFYRIS, VASILEIOS ALEXIOSMANAGING MEMBER/POO4026992

Disclosures

Regulatory Event2

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

FIRST SOUTHERN, LLC

CRD#: 282756Alpharetta, GA 30005

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