James M. 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.
James Moody Heaton was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1978. James had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 2, Series 1, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2011 - April 24, 2019
FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.
February 1, 2011 - April 24, 2019
FEDERATED SECURITIES CORP.
January 28, 2011 - April 24, 2019
FEDERATED SECURITIES CORP.
January 26, 2007 - April 24, 2019
MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC
August 18, 1993 - April 24, 2019
FEDERATED INVESTMENT COUNSELING
June 1, 1978 - July 18, 2008
FEDERATED SECURITIES CORP.
Primary Firm SEC Registration
FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.
CRD#: 106277 / SEC#: 801-49470
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 2
Date: 6/11/1993
Non-Member General Securities ExaminationSeries 1
Date: 5/22/1978
Registered Representative ExaminationCurrent Firm
FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.
CRD#: 106277 / SEC#: 801-49470
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 74 |
| AUM (Assets Under Management) | $ 14,819,533,515 |
Red Flags
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