Randall A. Heaton
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.
Randall Arthur Heaton, who also goes by Randy Heaton, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 2018. Randall had worked at 1 firm and has passed the Series 63, SIE 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
October 29, 2018 - July 3, 2020
RA CAPITAL ADVISORS LLC
State Registrations and Notice Filings
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Exams
Current Firm
RA CAPITAL ADVISORS LLC
CRD#: 40992 / SEC#: , 8-49263
Contact information
FINRA licenses (51 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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