Mark E. Heard
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 Elton Heard was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1976. Mark had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 1999 - April 7, 2022
FHN FINANCIAL SECURITIES CORP.
November 20, 1989 - January 30, 1991
FIRST FUNDS, INC.
October 3, 1988 - April 17, 1989
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
December 12, 1981 - October 3, 1988
UMIC, INC.
September 24, 1980 - November 27, 1981
SWINK & COMPANY, INC.
July 1, 1980 - October 22, 1980
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 23, 1979 - April 7, 1980
UMIC, INC.
November 28, 1977 - November 9, 1978
T. J. RANEY & SONS, INC.
June 2, 1977 - December 25, 1977
BRITTENUM & ASSOCIATES, INC.
June 16, 1976 - July 1, 1977
T. J. RANEY & SONS, 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
FHN FINANCIAL SECURITIES CORP.
CRD#: 46346 / SEC#: , 8-51393
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HORIZON BANK | SHAREHOLDER | |
| BUCK, WILLIAM JAMES II | PRINCIPAL OPERATING OFFICER | 3129662 |
| DABROWSKI, MARK GERARD | CHIEF COMPLIANCE OFFICER | 2065647 |
| GRIFFIN, MARK DANIEL | SVP, RISK CONTROL MANAGER | 7462222 |
| JACKSON, JEFF BRIAN | SVP/ TRADING MANAGER | 2777631 |
| RITCHESON, DONALD ALLEN | PRINCIPAL FINANCIAL OFFICER / CFO | 2360009 |
| ROMANOW, TIMOTHY MARK | PRESIDENT/CEO | 2533445 |
| WADDELL, MICHAEL KNOX | EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 5657529 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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