RANDALL ALAN HELLER is currently employed as a Broker and/or Investment Adviser at KCD FINANCIAL, INC. located at 10232 S. KEELER AVENUE, OAK LAWN, IL, 60453.

RANDALL ALAN HELLER has worked at KCD FINANCIAL, INC. since March 23, 2005

Disclosure History

RANDALL ALAN HELLER has 2 Disclosure Event(s).

Date: December 29, 2015
Category: Customer Dispute
Allegations: Unsuitable investment
Damage Amount Requested: $45,000.00
Settlement Amount: $15,000.00
Broker Comment: Firm and representative (subject of arbitration) deny all allegations and will defend our position.

Date: August 04, 2015
Category: Judgment / Lien
Judgment/Lien Amount: $29,770.45
Judgment/Lien Type: Tax
Broker Comment: RR has found no record of this case in the Cook County Court case records and has all tax records showing his payments. RR does not believe this lien is correct however due to the FINRA disclosure letter and 30 day deadline, he is disclosing. All information regarding this matter has been pulled from the FINRA disclosure letter.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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