Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Heather? Claim Your ProfileHeather Di Rosa is a financial advisor with over 20 years of experience in the industry. She has been with Merrill Lynch, Pierce, Fenner & Smith Incorporated since 2009. Prior to that, Heather worked at Wells Fargo Advisors, LLC, BANC of America Investment Services, INC., Citigroup Global Markets Inc., Dean Witter Reynolds Inc., and Morgan Stanley Dean Witter Online Inc. She provides a variety of financial services to her clients including financial planning, portfolio management, and investment advisory services. Heather holds Series 7, 9, 10, 63, and 66 licenses and is registered with the Financial Industry Regulatory Authority (FINRA) and several state securities regulators.
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
MO
06/05/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FRONTENAC MO)
MO
09/25/2013 - 04/28/2014
WELLS FARGO ADVISORS, LLC (ST. LOUIS MO)
MO
10/23/2009 - 09/16/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CLAYTON MO)
MO
10/03/2006 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CLAYTON MO)
FL
01/16/2001 - 10/09/2006
CITIGROUP GLOBAL MARKETS INC. (ORLANDO FL)
NY
11/01/2000 - 12/01/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
CA
06/12/2000 - 11/01/2000
MORGAN STANLEY DEAN WITTER ONLINE INC. (SAN FRANCISCO CA)
BOTH
Issued 10/16/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 6/16/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 5/4/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 3/15/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/9/2000
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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