Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Heck is a financial professional with over 20 years of experience in the industry. Douglas is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Prior to this role, Douglas was registered with Wells Fargo Advisors, LLC, A. G. Edwards & Sons, Inc., UBS Financial Services Inc. and Pruco Securities Corporation. Douglas is also a licensed investment advisor in Nevada and Texas, and is currently registered with the Securities Industry and Financial Markets Association (FINRA). Douglas holds several industry certifications, including the Series 6, 7, 31 and 65 licenses. Douglas's specializations include Retirement Planning, College Savings, Education Funding, Income Planning and Estate Planning.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NV
07/28/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LAS VEGAS NV)
NV
01/01/2008 - 10/06/2009
WELLS FARGO ADVISORS, LLC (LAS VEGAS NV)
NV
07/20/2006 - 01/03/2008
A. G. EDWARDS & SONS, INC. (LAS VEGAS NV)
NJ
05/30/2000 - 11/02/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NJ
05/08/1997 - 06/02/2000
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 12/29/2009
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 02/13/1998
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 03/29/1999
Series 7 - General Securities Representative Examination
BC
Issued 05/07/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Douglas Heck is the right advisor for you? Invested Better is here to help.
