James A. Heist-torres
Professional summary
James Andrew Heist-torres, who also goes by James A Heist-torres, is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Conshohocken, Pennsylvania.
James is registered as a RR (Registered Representative) and started their career in finance in 2006. James has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Andrew Heist-torres's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 21, 2012 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 46 Fayette Street 1st Floor, Conshohocken, PA 19428May 21, 2012 - November 9, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
March 28, 2006 - August 11, 2011
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/4/2018)
(7/23/2021)
(5/21/2012)
Exams
FINRA
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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