Charles A. Heyl
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.
Charles Allen Heyl II, who also goes by Allen Heyl II, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1978. Charles had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2010 - May 8, 2020
OPPENHEIMER & CO. INC.
September 3, 2010 - May 8, 2020
OPPENHEIMER & CO. INC.
December 14, 2005 - September 7, 2010
WELLS FARGO CLEARING SERVICES, LLC
December 14, 2005 - September 7, 2010
WELLS FARGO CLEARING SERVICES, LLC
September 24, 2002 - December 5, 2005
TRUIST INVESTMENT SERVICES, INC.
May 26, 2000 - December 5, 2005
TRUIST INVESTMENT SERVICES, INC.
July 31, 1998 - May 26, 2000
CRESTAR SECURITIES CORPORATION
May 20, 1996 - July 14, 1998
J.C. BRADFORD & CO.
April 25, 1994 - April 8, 1996
CITIGROUP GLOBAL MARKETS INC.
May 4, 1993 - April 19, 1994
CRESTAR SECURITIES CORPORATION
May 9, 1989 - December 15, 1991
CRESTAR SECURITIES CORPORATION
April 29, 1982 - August 17, 1987
UBS FINANCIAL SERVICES INC.
September 26, 1978 - January 4, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
