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Kathy Craig Heller

Jonestrading

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About Kathy Craig Heller

Kathy Heller is a financial advisor with over 40 years of experience in the industry. Kathy has held a variety of roles at firms such as Salomon Smith Barney, Oppenheimer & Co. and Drexel Burnham Lambert. Kathy currently works with Jonestrading and holds multiple licenses including Series 7, 24, 55, 57 and 63. Kathy is registered in multiple states including Alabama, Arizona, California, Colorado, Connecticut, Florida, Georgia, Louisiana, Massachusetts, Nebraska, New Jersey, New York, North Carolina, South Carolina, Tennessee, Utah and Virginia.

Firm Information

Kathy Heller is currently registered with Jonestrading. Jonestrading is a Limited Liability Company formed in August 2001. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. Jonestrading has been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

108

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Kathy Heller’s Registration & Firm History

SC

08/15/2002 - Present

Jonestrading (Daniel Island SC)

NY

04/07/1992 - 10/11/2001

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NY

03/16/1990 - 03/12/1992

OPPENHEIMER & CO., INC. (NEW YORK NY)

NA

12/13/1984 - 03/05/1990

DREXEL BURNHAM LAMBERT INCORPORATED

NA

09/24/1982 - 10/05/1984

LOWRY FINANCIAL SERVICES CORPORATION

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Licenses & Designations

BC

Issued 10/05/1982

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/02/1997

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/09/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 09/18/1982

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Kathy Craig Heller.
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