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.
To view the full report for RANDALL ALAN HELLER, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.