Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Heather? Claim Your ProfileHeather Brockie is a financial advisor with Robert W. Baird & Co. Inc. in Mishawaka, IN. Heather has over 8 years of experience in the financial services industry. Heather has a Series 6, Series 7, Series 63 and Series 65 license. Heather specializes in providing financial advice to high net worth individuals, insurance companies, investment companies, charitable organizations, pension and profit sharing plans, corporations and other businesses, individuals, and state or municipal government entities. Heather also provides financial planning, portfolio management, and other services.
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
IN
11/30/2021 - Present
Robert W. Baird & Co. Inc. (Mishawaka IN)
IN
08/10/2021 - 11/08/2021
PRUCO SECURITIES, LLC. (FORT WAYNE IN)
IN
12/04/2018 - 04/22/2021
LPL FINANCIAL LLC (SOUTH BEND IN)
IN
04/27/2017 - 12/05/2018
CETERA ADVISOR NETWORKS LLC (SOUTH BEND IN)
IA
Issued 11/20/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/03/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/15/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/27/2017
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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