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ML

Michael S. Liss

HERONWOOD CAPITAL
WASHINGTON, DC 20009
Some features on this profile are disabled
CRD#: 5849981
ML

Professional summary

Michael Smith Liss, who also goes by Michael Liss, is a registered financial advisor currently at HERONWOOD CAPITAL LLC located in Washington, District Of Columbia.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Michael has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Michael Liss

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) - RIA

Click below to view Michael Smith Liss'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

January 11, 2018 - Present

HERONWOOD CAPITAL LLC

Office #1: 1901 Connecticut Ave Nw Suite 215, Washington, DC 20009
RIA
CRD#: 290176
WASHINGTON, DC
Past

September 6, 2016 - April 26, 2017

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
Washington, DC
Past

September 6, 2016 - April 26, 2017

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
Washington, DC
Past

June 3, 2011 - September 6, 2016

DEUTSCHE BANK SECURITIES INC.

RIA
CRD#: 2525
WASHINGTON, DC
Past

December 23, 2010 - September 6, 2016

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
WASHINGTON, DC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
District of Columbia
(1/11/2018)
IAR
Maryland
(2/13/2018)
IAR
Virginia
(9/5/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/23/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/26/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/22/2010
General Securities Representative Examination

Current Firm

HC
HERONWOOD CAPITAL LLC
HERONWOOD CAPITAL LLC

CRD#: 290176 / SEC#:

District of Columbia
Registered Investment Advisory firm - (1/11/2018 Approved)
Maryland
Registered Investment Advisory firm - (2/13/2018 Approved)
Virginia
Registered Investment Advisory firm - (9/5/2018 Approved)
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Contact information

Main Address
Bluemont, VA
Mailing Address
Phone number
(202) 871-7272
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts31
AUM (Assets Under Management)$ 59,385,507

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

HERONWOOD CAPITAL LLC

CRD#: 290176Washington, DC 20009

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