Thomas F. Heffernan
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.
Thomas Francis Heffernan was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1981. Thomas had worked at 5 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 1991 - August 6, 1991
WILLIAM & CO. CAPITAL MARKETS LTD.
October 20, 1989 - September 24, 1991
MEYERS POLLOCK ROBBINS, INC.
July 17, 1986 - May 1, 1990
MCKITTRICK & BRIGGS SECURITIES, INC.
July 26, 1985 - July 14, 1986
GREELEY SECURITIES, INC.
October 5, 1981 - October 29, 1987
JAMES J. DUANE & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WILLIAM & CO. CAPITAL MARKETS LTD.
CRD#: 8382 / SEC#: , 8-25392
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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