Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Heather? Claim Your ProfileHeather Braun is a registered representative with Ares Management Capital Markets LLC. Heather has over 15 years of experience in the financial services industry. Heather holds the Series 7, Series 24, Series 63, Series 79TO, Series 99TO and SIE licenses. In addition, Heather has completed the Compliance Officer Exam. Heather was previously employed at CREDIT SUISSE SECURITIES (USA) LLC in New York, NY.
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.
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.
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NC
01/02/2014 - Present
Ares Management Capital Markets LLC (Charlotte NC)
NY
09/18/2006 - 01/12/2012
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
BC
Issued 12/10/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 07/03/2017
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 07/23/2022
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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