AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SH

Stephen C. Heiner

HOLLISTER ASSOCIATES
NEW YORK, NY 10019
Some features on this profile are disabled
CRD#: 5391739
SH

Professional summary

Stephen C Heiner, who also goes by Steve Heiner, is a registered financial professional currently at HOLLISTER ASSOCIATES, LLC located in New York, New York.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2015. Stephen has worked at 2 firms and has passed the SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steve Heiner

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 Stephen C Heiner's CRS (Customer Relationship Summary).
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

December 12, 2025 - Present

HOLLISTER ASSOCIATES, LLC

Office #1: 40 West 57th Street, Suite 1700, New York, NY 10019
BD
CRD#: 173366
NEW YORK, NY
Past

August 29, 2015 - September 27, 2023

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/28/2015
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HA
HOLLISTER ASSOCIATES, LLC
HOLLISTER ASSOCIATES, LLC

CRD#: 173366 / SEC#: , 8-69538

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
257 River Oak Drive, Mount Pleasant, SC 29464
Mailing Address
257 River Oak Drive, Mount Pleasant, SC 29464
Phone number
(401) 465-3080
Established
South Carolina since 09/09/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HOLLISTER, CHRISTOPHER VERNCEO/CCO5637565
CLIFFHANGER INVESTMENTS, LLCOWNER
KUGLER, JACQUESOWNER5105697
MADABA INVESTMENTS, LLCOWNER
PORTWOOD, WILLIAM BOYCECFO/FINOP4853700

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

HOLLISTER ASSOCIATES, LLC

CRD#: 173366New York, NY 10019

TRUST BUT VERIFY

Monitor Stephen Heiner

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Elizabeth Katz Miller
Elizabeth MillerAdvisorCheck Check Mark
SUMMIT PLACE FINANCIAL ADVISORS, LLC
IAR
Summit, NJ
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Anthony J. Macagna
Anthony MacagnaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
PARAMUS, NJ
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.