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JB

James M. Bond

HEG SECURITIES
GREENWICH, CT 06830
Some features on this profile are disabled
CRD#: 4714631
JB

Professional summary

James Michael Bond is a registered financial professional currently at HEG SECURITIES, LLC located in Greenwich, Connecticut.

James is registered as a RR (Registered Representative) and started their career in finance in 2003. James has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 James Michael Bond's 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

September 23, 2024 - Present

HEG SECURITIES, LLC

Office #1: 660 Steamboat Road 4th Floor, Greenwich, CT 06830
BD
CRD#: 330096
GREENWICH, CT
Past

August 4, 2014 - June 13, 2018

CFWP SECURITIES, LLC

BD
CRD#: 170228
NEW YORK, NY
Past

January 22, 2004 - October 13, 2006

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

October 10, 2003 - May 14, 2018

CANTOR FITZGERALD & CO.

BD
CRD#: 134
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: 10/20/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/17/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/9/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/20/2008
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/9/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/30/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HEG SECURITIES, LLC
HEG SECURITIES, LLC

CRD#: 330096 / SEC#: , 8-71212

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

Main Address
660 Steamboat Road 4th Floor, Greenwich, CT 06830
Mailing Address
660 Steamboat Road 4th Floor, Greenwich, CT 06830
Phone number
(203) 971-0730
Established
Delaware since 11/29/2023
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HEG FINANCIAL, LLCPARENT
BOND, JAMES MICHAELCHIEF COMPLIANCE OFFICER4714631
CERCY, CHRISTOPHER DANIELCHIEF EXECUTIVE OFFICER4459339
STAMOVA, ILINAPRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, AND FINOP5500851

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

HEG SECURITIES, LLC

CRD#: 330096Greenwich, CT 06830

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