Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Linda? Claim Your ProfileLinda Heaton is a registered investment advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Linda has been in the financial services industry since 1994. Previously Linda Heaton was registered with WELLS FARGO ADVISORS, LLC, MORGAN STANLEY SMITH BARNEY, CITIGROUP GLOBAL MARKETS INC., SALOMON SMITH BARNEY INC., SMITH BARNEY INC., LEHMAN BROTHERS INC., and FIRST INVESTORS CORPORATION. Linda Heaton has passed a number of securities exams, including Series 31, SIE, Series 7, Series 6, Series 10, Series 9, and Series 63. Linda Heaton's registrations are active in 53 states, including Texas, New Jersey, and Alabama. Linda Heaton's firm, Merrill Lynch, Pierce, Fenner & Smith Inc., offers a variety of financial services to clients. The firm offers investment advice, financial planning, pension consulting, educational seminars, and selection of other advisors. The firm manages assets for individuals, businesses, and pooled investment vehicles. Merrill Lynch, Pierce, Fenner & Smith Inc. has over $1 trillion in assets under management. The firm has offices in New York, NY and other locations across the United States.
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
NJ
05/13/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (JERSEY CITY NJ)
NJ
08/01/2011 - 04/14/2016
WELLS FARGO ADVISORS, LLC (FLORHAM PARK NJ)
NJ
06/01/2009 - 08/12/2011
MORGAN STANLEY SMITH BARNEY (BEDMINSTER NJ)
NJ
06/22/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MORRISTOWN NJ)
NJ
01/27/2006 - 07/13/2006
CITIGROUP GLOBAL MARKETS INC. (SHORT HILLS NJ)
NY
03/05/2003 - 05/17/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
09/01/1995 - 07/17/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
07/31/1993 - 08/07/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
01/23/1990 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
08/10/1987 - 11/20/1987
FIRST INVESTORS CORPORATION
IA
Issued 04/20/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/23/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/05/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/30/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/07/2020
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/20/1990
Series 7 - General Securities Representative Examination
BC
Issued 08/07/1987
Series 6 - Investment Company Products/Variable Contracts 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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