Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Heather? Claim Your ProfileHeather Rock is a financial advisor with over 37 years of experience in the industry. Heather currently works at Robert W. Baird & Co. Inc. Heather also has previous experience at MCADAMS WRIGHT RAGEN, INC., SOUND INVESTMENT SERVICES, and FIRST INVESTORS CORPORATION.
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.
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.
Strategic management for diversified investment portfolios.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
WA
11/07/2014 - Present
Robert W. Baird & Co. Inc. (Seattle WA)
WA
11/14/2000 - 11/07/2014
MCADAMS WRIGHT RAGEN, INC. (SEATTLE WA)
TX
05/21/1993 - 11/19/2001
SOUND INVESTMENT SERVICES (SAN ANTONIO TX)
NJ
03/20/1985 - 03/31/1993
FIRST INVESTORS CORPORATION (EDISON NJ)
IA
Issued 10/18/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/13/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/02/1996
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/04/1994
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/18/1994
Series 24 - General Securities Principal Examination
BC
Issued 04/18/1986
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/1993
Series 7 - General Securities Representative Examination
BC
Issued 03/19/1985
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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