Mary P. Heinbaugh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mary Patricia Heinbaugh, who also goes by Patty Heinbaugh, Patty Pappas, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1983. Mary had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2006 - January 18, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 2, 2005 - January 18, 2018
TD AMERITRADE, INC.
March 2, 2005 - January 18, 2018
TD AMERITRADE, INC.
July 21, 2000 - August 11, 2004
CHARLES SCHWAB & CO., INC.
March 24, 1993 - August 11, 2004
CHARLES SCHWAB & CO., INC.
August 31, 1989 - February 25, 1992
QUICK & REILLY, INC.
March 23, 1983 - February 25, 1992
QUICK & REILLY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 11/18/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
