Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Heather? Claim Your ProfileHeather Brittain is a financial advisor at UBS Financial Services Inc. based in Bellevue, WA. Heather has been in the industry since December 2006. Heather is registered with the state of Washington as an investment advisor representative. Heather has passed Series 66, Series 7 and SIE exams. Prior to UBS Financial Services Inc., Heather was employed by ALPS DISTRIBUTORS, INC., FORESIDE FUND SERVICES, LLC and WADDELL & REED, INC..
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.
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.
See schedule d - miscellaneous
1
2
WA
08/30/2011 - Present
UBS Financial Services Inc. (Bellevue WA)
CA
01/02/2009 - 07/20/2011
ALPS DISTRIBUTORS, INC. (SAN FRANCISCO CA)
WA
04/04/2007 - 12/31/2008
FORESIDE FUND SERVICES, LLC (SEATTLE WA)
WA
11/23/2006 - 03/02/2007
WADDELL & REED, INC. (BELLEVUE WA)
BOTH
Issued 12/13/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/22/2006
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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