Michael D. 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.
Michael Deeny Heller, who also goes by Michael D Heller, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 2 firms and has passed the Series 63, Series 66, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2010 - August 20, 2012
KILDARE CAPITAL, INC.
May 9, 2006 - July 13, 2006
MORGAN STANLEY DW INC.
April 10, 2006 - July 13, 2006
MORGAN STANLEY DW 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
KILDARE CAPITAL, INC.
CRD#: 45796 / SEC#: , 8-51198
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Judgment/Lien | 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.
