Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Heather? Claim Your ProfileHeather Vaughan is a financial advisor with Northwestern Mutual Investment Services, LLC. Heather has been in the industry since August 2014. Heather offers advisory services such as investment research and referrals to other advisors. Heather has earned the Series 6, Series 63 and Series 65 securities licenses. Heather has earned the Securities Industry Essentials Examination. Heather has one active registration with the state of Minnesota. Heather also holds a license in Wisconsin. Heather is also a secretary for United Heroes League.
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.
Investment research; referrals to other advisers
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.
Referral fees
1
2
MN
02/18/2015 - Present
Northwestern Mutual Investment Services, LLC (MENDOTA HTS MN)
IA
Issued 02/13/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/25/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/11/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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