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HH

Harry W. Heidelberg

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CRD#: 867069
HH

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.

Harry Whitlowe Heidelberg, who also goes by Harry W Heidelberg, was a registered financial professional .

Harry is a previously registered financial professional and started their career in finance in 1981. Harry had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Harry W Heidelberg

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

June 16, 2015 - August 3, 2016

SIMMONS FIRST INVESTMENT GROUP, INC.

BD
CRD#: 47439
LITTLE ROCK, AR
Past

October 27, 2005 - March 14, 2014

AMUNI FINANCIAL, INC.

BD
CRD#: 8365
LITTLE ROCK, AR
Past

November 2, 1999 - September 6, 2000

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

December 5, 1989 - March 14, 1990

WFG INVESTMENTS, INC.

BD
CRD#: 22704
Past

January 21, 1986 - September 16, 1987

SWINK & COMPANY, INC.

BD
CRD#: 7111
Past

May 16, 1985 - November 5, 1985

T. J. RANEY & SONS, INC.

BD
CRD#: 3128
Past

July 22, 1981 - January 18, 1985

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793

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: 11/2/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/3/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/1981
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 6/5/1979
Municipal Securities Representative Examination

Current Firm

SF
SIMMONS FIRST INVESTMENT GROUP, INC.
DELTA TRUST INVESTMENTS, INC. | SIMMONS WEALTH MANAGEMENT | SIMMONS FIRST INVESTMENT GROUP, INC. | J.F. HILL & COMPANY, INC.

CRD#: 47439 / SEC#: 801-108161, 8-51795

BD
Terminated by SEC on 07/09/2019
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Contact information

Main Address
11700 Cantrell Road, Little Rock, AR 72223
Mailing Address
Phone number
Established
Arkansas since 03/25/1999
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

SFIG ADV PART II BROCHURE (4/19/2018)

Direct owners and executive officers

NamePositionCRD#
SIMMONS BANK100% OWNER
CASTEEL, MARTY DALEDIRECTOR
CLEMENT, JOE WINTERS IIIDIRECTOR1305699
CURZON, WILLIAM CARYPRESIDENT
FEHLMAN, ROBERT ADIRECTOR
JOHNSON, ANGELA LEIGHCHIEF FINANCIAL OFFICER5389137
JOHNSON, RICHARD WAYNEDIRECTOR260111
TAPPAN, PHILIP ANDREWDIRECTOR1197696
WITT, LAURA LEACCO5699623

Disclosures

Regulatory Event2

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

SIMMONS FIRST INVESTMENT GROUP, INC.

CRD#: 47439

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