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JAMES D HEGLAND
JAMES DAVID HEGLAND, JIM HEGLAND
CRD#: 2173917
IA
B
PARK AVENUE SECURITIES LLCCRD#: 46173 ROCHESTER, MN
0
Disclosures
33
Years of Experience
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State Registrations
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Arizona 4/14/2004
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Minnesota 5/3/1999
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Arizona 10/23/2018
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Minnesota 11/6/2013
B
Arkansas 4/3/2019
B
Missouri 6/23/2006
B
California 3/14/2000
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Missouri 7/23/2020
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California 9/16/2010
B
Nebraska 4/5/2010
B
Colorado 12/6/2004
B
New Hampshire 9/15/2016
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Colorado 2/3/2020
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New Hampshire 1/9/2020
B
Florida 2/24/2003
B
New York 12/6/2018
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Florida 8/12/2009
B
North Carolina 6/8/2017
B
Georgia 7/23/2009
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North Carolina 6/8/2017
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Georgia 7/28/2009
B
North Dakota 2/23/2006
B
Illinois 8/30/2018
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North Dakota 10/22/2018
B
Indiana 3/28/2017
B
Ohio 5/3/2022
B
Iowa 5/3/1999
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Ohio 5/3/2022
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Iowa 4/11/2017
B
Oklahoma 2/27/2019
B
Kansas 3/10/2009
B
Pennsylvania 8/29/2018
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Kansas 3/17/2009
B
South Carolina 10/30/2017
B
Kentucky 1/13/2020
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South Carolina 10/31/2017
B
Louisiana 7/14/2020
B
South Dakota 11/28/2019
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Louisiana 7/20/2020
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South Dakota 12/5/2019
B
Maryland 2/6/2017
B
Tennessee 9/26/2024
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Maryland 2/9/2017
B
Texas 11/3/2017
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Massachusetts 2/13/2025
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Texas 11/3/2017
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Massachusetts 2/19/2025
B
Virginia 5/23/2024
B
Michigan 7/19/2017
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Wisconsin 5/3/1999
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Michigan 7/24/2017
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Wisconsin 1/20/2017
SRO Registrations
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/22/1996 - 05/03/1999 | NEW YORK, NY | |
B | 09/20/1991 - 12/11/1995 | MINNEAPOLIS, MN |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.