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Brian Basil Heapps

Firm:
Signator Investors, Inc.
Director
Type: Dual Registration
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Description

Brian Heapps an executive and has an ownership stake of Signator Investors, Inc., a broker-dealer with over 1,500 registered representatives nationwide. Brian has held an industry securities registration for 25 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Brian Basil Heapps has not answered any questions on Financial Q&A.

Top Guides

Brian Basil Heapps has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations
State or Municipal Government Entities

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Signator Investors, Inc. 6 years, 4 months Jan 2007 - Present
Signator Investors, Inc. 12 years Dec 1994 - Dec 2006
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 06/21/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
06/21/2011
10/08/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Municipal Fund Securities Principal Examination Series 51 02/24/2003
Uniform Investment Adviser Law Examination Series 65 03/30/1999
General Securities Principal Examination Series 24 05/02/1998
General Securities Representative Examination Series 7 03/12/1998
Uniform Securities Agent State Law Examination Series 63 07/27/1987
Investment Company Products/Variable Contracts Representative Examination Series 6 07/06/1987

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees