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TH

Ted J. Heitzman

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CRD#: 722129
TH

Professional summary

Ted John Heitzman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ted is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Ted had worked at 12 firms, which includes PACIFIC CORTEZ SECURITIES INCORPORATED, GLOBAL CAPITAL SECURITIES CORPORATION, TOLUCA PACIFIC SECURITIES CORP., DEL MAR SECURITIES INC., H.K. FREELAND & COMPANY INC., AIMCO SECURITIES COMPANY INC., BOUCHER OEHMKE & COMPANY, J. T. MORAN & CO. INC., UBS FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, E. F. HUTTON & COMPANY INC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Theodore J Heitzman

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 2, 1993 - December 22, 1994

PACIFIC CORTEZ SECURITIES INCORPORATED

BD
CRD#: 24341
SAN DIEGO, CA
Past

January 19, 1993 - July 29, 1993

GLOBAL CAPITAL SECURITIES CORPORATION

BD
CRD#: 16184
ENGLEWOOD, CO
Past

May 1, 1992 - December 21, 1992

TOLUCA PACIFIC SECURITIES CORP.

BD
CRD#: 13875
BURBANK, CA
Past

August 15, 1991 - April 27, 1992

DEL MAR SECURITIES, INC.

BD
CRD#: 14411
Past

March 28, 1991 - June 14, 1991

H.K. FREELAND & COMPANY, INC.

BD
CRD#: 23523
Past

September 28, 1990 - March 22, 1991

AIMCO SECURITIES COMPANY, INC.

BD
CRD#: 20185
Past

March 13, 1990 - September 21, 1990

BOUCHER, OEHMKE & COMPANY

BD
CRD#: 17470
Past

July 7, 1989 - January 30, 1990

J. T. MORAN & CO., INC.

BD
CRD#: 15655
Past

October 30, 1985 - May 26, 1988

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

July 21, 1984 - November 7, 1985

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

March 2, 1983 - May 30, 1984

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

January 19, 1981 - March 4, 1983

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

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

State Security Law Exam
RR
Series 63
Date: 1/22/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 5
Date: 2/9/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 1/17/1981
General Securities Representative Examination

Current Firm

PC
PACIFIC CORTEZ SECURITIES INCORPORATED
LA JOLLA CAPITAL CORPORATION | PACIFIC CORTEZ SECURITIES INCORPORATED | LA JOLLA CAPITAL CORPORATION AND LA JOLLA CAPITAL FINANCIAL CORP

CRD#: 24341 / SEC#: , 8-38514

BD
Cancelled by SEC on 07/12/2004
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 12/16/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

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.

Company Information

PACIFIC CORTEZ SECURITIES INCORPORATED

CRD#: 24341

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