Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Heather? Claim Your ProfileHeather Ada Philip is an investment advisor representative with Rockefeller Financial LLC. Heather has been in the securities industry since April 8, 1998. Heather has worked at J.P. MORGAN SECURITIES LLC and AMERIPRISE FINANCIAL SERVICES, INC. prior to joining Rockefeller Financial LLC. Heather holds the Series 4, 63, 7, 9, 10, 24, 65 licenses. Heather specializes in providing financial planning, pension consulting, and selection of other advisors.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
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.
A percentage of the total value of assets under management is charged.
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2
CT
04/11/2022 - Present
Rockefeller Financial LLC (Stamford CT)
CT
12/02/2010 - 07/01/2021
J.P. MORGAN SECURITIES LLC (Greenwich CT)
CT
03/30/1998 - 12/03/2010
AMERIPRISE FINANCIAL SERVICES, INC. (DANBURY CT)
MN
03/30/1998 - 07/03/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 04/11/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/04/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/18/2011
Series 4 - Registered Options Principal Examination
BC
Issued 01/21/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/08/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/07/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/28/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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