Heydrick Lominy
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.
Heydrick Lominy, who also goes by Lominy Heydrick, Michael Lominy, was a registered financial professional .
Heydrick is a previously registered financial professional and started their career in finance in 2003. Heydrick had worked at 5 firms and has passed the Series 63 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
August 15, 2012 - May 23, 2013
CAPE SECURITIES INC.
December 2, 2011 - August 13, 2012
NATIONAL SECURITIES CORPORATION
April 26, 2011 - November 29, 2011
EKN FINANCIAL SERVICES INC.
January 12, 2009 - June 30, 2009
GUNNALLEN FINANCIAL, INC
May 21, 2003 - May 1, 2008
MILESTONE FINANCIAL SERVICES, 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
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
