Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Heather? Claim Your ProfileHeather Walsh has been active in the financial industry since 1992. She has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 1997. Heather is a registered investment advisor in Maine, Maryland, and Texas. She is also licensed in numerous other states. She has a wide range of experience in the financial industry, including experience with Fidelity Brokerage Services, Inc., Bear, Stearns & Co. Inc. and Thomas James Associates, Inc. Heather offers advisory services such as portfolio management for businesses, individuals, and selection of other advisors. She is also qualified to provide pension consulting and educational seminars.
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
TX
04/10/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN ANTONIO TX)
RI
03/29/1993 - 07/10/1997
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
NY
09/09/1992 - 12/18/1992
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
09/05/1991 - 06/25/1992
THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)
IA
Issued 06/28/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/13/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/03/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/02/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/10/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 09/03/1991
Series 7 - General Securities 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
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