Mark J. Heller
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.
Mark Joseph Heller was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2002. Mark had worked at 4 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2013 - March 15, 2016
CLSA AMERICAS, LLC
April 2, 2009 - May 31, 2013
CREDIT AGRICOLE SECURITIES (USA) INC.
December 9, 2003 - March 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 18, 2002 - November 20, 2003
WEDBUSH SECURITIES 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
Current Firm
CLSA AMERICAS, LLC
CRD#: 165533 / SEC#: , 8-69166
Contact information
FINRA licenses (53 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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