Individual Firm
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Heron George Rattray Jr
HERON GEORGE RATTRAY JR, HERON GEORGE RATTRAY
CRD#: 5479037
IA
B
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
2
Firms
0
Licenses
View By:
6/9/2023
Regulatory
Final
11/21/2022
Employment Separation After Allegations
8/10/2015
Customer Dispute
Denied
3/16/2012
Customer Dispute
Settled
The broker is not currently registered with any state or SRO.
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2012 - 12/21/2022 | NEW YORK, NY | |
IA | 06/17/2011 - 10/01/2012 | NEW YORK, NY | |
IA | 01/06/2010 - 03/15/2011 | NEW YORK, NY |
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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.