Steven Dale Heath is currently employed as a Broker and/or Investment Adviser at CHELSEA FINANCIAL SERVICES located at 242 MAIN STREET, STATEN ISLAND, NY, 10307.
Steven Dale Heath has worked at CHELSEA FINANCIAL SERVICES since August 31, 2017
Disclosure History
Steven Dale Heath has 6 Disclosure Event(s).
Date: November 20, 2017 Category: Regulatory Initiated By: Virginia State Corporation Commission Allegations: Heath had been previously allowed to resign from Capitol Securities due to a FINRA suspension and was discharged from LPL Financial for a violation of firm policies regarding Mutual Funds and discretionary trading in brokerage accounts. SanctionDetails: Sanctions: Undertaking
Date: June 01, 2017 Category: Regulatory Initiated By: FINRA Allegations: Respondent Heath failed to pay fines and/or costs of $5,000 in FINRA Case #2014042674201. Resolution: Letter SanctionDetails: Sanctions: Revocation Regulator Statement: Pursuant to FINRA Rule 8320, Respondent Heath's FINRA registration is revoked as of the close of business on June 1, 2017 for failure to pay fines and/or costs. Revocation rescinded on June 14, 2017. Broker Comment: Pursuant to FINRA Rule 8320, Respondent Heath's FINRA registration is revoked as of the close of business on June 1, 2017 for failure to pay fines and/or costs. Revocation rescinded on June 14, 2017.
Date: January 25, 2017 Category: Regulatory
Date: August 20, 2014 Category: Employment Separation After Allegations Firm Name: LPL FINANCIAL LLC Termination Type: Discharged Allegations: VIOLATION OF FIRM POLICIES REGARDING MUTUAL FUND TRADING AND DISCRETIONARY TRADING IN BROKERAGE ACCOUNTS.
Date: August 20, 2014 Category: Employment Separation After Allegations Firm Name: STRATOS WEALTH PARTNERS Termination Type: Discharged Allegations: TERMED BY BROKER DEALER - VIOLATION OF LPL FIRM POLICIES REGARDING MUTUAL FUND TRADING AND DISCRETIONARY TRADING IN BROKERAGE ACCOUNTS
Date: December 01, 2013 Category: Financial Type: Compromise Disposition: Satisfied/Released
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