Joseph L. Heintzman
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.
Joseph Louis Heintzman JR, who also goes by Joseph Louis Heintzman Jr, Joseph Louis Heintzman, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1975. Joseph had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 5, PC, Series 7, Series 27 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2018 - February 4, 2020
MML INVESTORS SERVICES, LLC
June 20, 2017 - October 20, 2018
W&S BROKERAGE SERVICES, INC.
June 29, 2016 - February 21, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
June 29, 2016 - February 21, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
June 5, 2012 - June 28, 2016
EDWARD JONES
June 4, 2012 - June 28, 2016
EDWARD JONES
August 9, 2011 - November 25, 2011
QUASAR DISTRIBUTORS, LLC
February 5, 2007 - December 1, 2011
ONE COMPASS ADVISORS
December 15, 2006 - May 31, 2011
NEW COVENANT FUNDS DISTRIBUTOR, INC.
February 17, 2005 - December 7, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 17, 2005 - December 7, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 27, 2004 - July 28, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
December 20, 1975 - July 28, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
Primary Firm SEC Registration
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
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
Series 5
Date: 3/24/1982
Interest Rate Options ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamCurrent Firm
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSMUTUAL HOLDING LLC | MEMBER | |
| BAUER, THOMAS K | CHIEF TECHNOLOGY OFFICER | 4759472 |
| BOWMAN, VAUGHN CHARLES | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD | 4725044 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MALLEE, JOSEPH PATRICK III | DIRECTOR | 4231618 |
| MINK, DAVID MYERS | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | 2606831 |
| RANDALL, GEORGE ASHLEY IV | FIELD RISK OFFICER | 4881503 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| ROGERS REID, COURTNEY MCKENZIE | CHIEF COMPLIANCE OFFICER | 5374512 |
| VACCARO, JOHN ARTHUR | CHAIRMAN EMERITUS | 2264004 |
| WILKINSON, MARY BEA | VICE PRESIDENT | 2159909 |
Regulatory assets under management
| Total Number of Accounts | 392,820 |
| AUM (Assets Under Management) | $ 90,021,969,258 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 1 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 12/19/2022 |
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.
