Tate A. Heilpern
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.
Tate Aronov Heilpern, who also goes by Tate Heilpern, was a registered financial professional .
Tate is a previously registered financial professional and started their career in finance in 2011. Tate had worked at 3 firms and has passed the Series 63, SIE, Series 3 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2015 - July 14, 2020
PAYDEN & RYGEL DISTRIBUTORS
September 25, 2014 - December 31, 2014
R2 MACRO
May 10, 2011 - July 8, 2014
WELLS FARGO SECURITIES, LLC
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
PAYDEN & RYGEL DISTRIBUTORS
CRD#: 29868 / SEC#: , 8-44622
Contact information
FINRA licenses (52 States and Territories)
Documents
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.
