Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Heather? Claim Your ProfileHeather Rose Johnson has been in the financial services industry since October 1996. Heather is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. and holds the Series 7, Series 63, Series 65, Series 66, and Series 55 licenses, as well as the Series 4, Series 24, and Series 53 principal licenses. Heather's previous employment includes positions at BANC OF AMERICA INVESTMENT SERVICES, INC. and H.D. VEST INVESTMENT SERVICES. Heather provides portfolio management services for businesses and individuals.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, 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.
1
2
TX
10/23/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CORINTH TX)
MA
07/13/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
TX
10/08/1996 - 07/22/2004
H.D. VEST INVESTMENT SERVICES (DALLAS TX)
BOTH
Issued 08/24/2004
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/29/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/22/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/08/1997
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/06/1997
Series 4 - Registered Options Principal Examination
BC
Issued 12/03/1996
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/07/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/04/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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