DENNIS J. HEIM

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CRD#: 1343699

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.

DENNIS JAMES HEIM, CFP®, who also goes by James Heim Dennis, was a registered financial professional .

DENNIS is a previously registered financial professional and started their career in finance in 1985. DENNIS had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Biography

Dennis was a co-founder of Heim, Young & Associates, Inc. which was acquired by Mercer Advisors in 2022. He graduated from Missouri State University with a Bachelor of Science in Business and has over 37 years of experience. Dennis’ designations include CERTIFIED FINANCIAL PLANNER™ professional, and Chartered Retirement Plan Specialist™. Dennis is actively involved in the community, including Sunrise Rotary of Springfield, where he has been a member for 35 years and served as chairmen for a variety of committees. Other community activities include Cox Health Board of Directors, where he served as Chairman of the Board. Mo Sports Hall of Fame Board of Directors, and Children’s Miracle Network Campaign Committee. Dennis and his wife, Anne, have 2 girls. Dennis enjoys playing golf, reading, and spending time with his family.

Question & Answer

What are your service offerings?

Employee and Employer Plan Ben...

Comprehensive Financial Planni...

Insurance Planning

Estate Planning

Education Planning

What is your minimum asset requirement?

250K

How do you get paid?

Commission and Fee

Are you a "fiduciary"?

Aliases

James Heim Dennis

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1990

Experience

Past

July 1, 2022 - January 4, 2024

MERCER GLOBAL ADVISORS INC.

RIA

CRD#: 147363

Springfield, MO

Past

November 7, 1997 - September 26, 2022

HYA ADVISORS, INC

RIA

CRD#: 106691

SPRINGFIELD, MO

Past

December 21, 1995 - December 31, 2022

HEIM, YOUNG & ASSOCIATES, INC.

CRD#: 38993

SPRINGFIELD, MO

Past

October 2, 1995 - December 31, 1995

GREYSTONE SECURITIES CORPORATION

CRD#: 37792

SPRINGFIELD, MO

Past

August 16, 1991 - October 2, 1995

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

January 30, 1989 - August 19, 1991

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

OVERLAND PARK, KS

Past

February 25, 1985 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

February 25, 1985 - January 30, 1989

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MERCER GLOBAL ADVISORS INC.

MERCER ADVISORS | MERCER GLOBAL ADVISORS INC.

CRD#: 147363 / SEC#: 801-69271

RIA

Registered Investment Advisory firm - (5/30/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/22/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 6/3/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/22/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/14/1993

General Securities Principal Examination

Current Firm

MERCER GLOBAL ADVISORS INC.

MERCER ADVISORS | MERCER GLOBAL ADVISORS INC.

CRD#: 147363 / SEC#: 801-69271

RIA

Registered Investment Advisory firm - (5/30/2008 Approved)

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Contact information

Main Address

1200 17th Street Suite 2000, Denver, CO 80202

Mailing Address

Phone number

(888) 885-8101

Established

Firm type

Fiscal year end

# of Employees

1,166

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MERCER GLOBAL ADVISORS INC. ADV PART 2A AUGUST 21 2025 (8/21/2025)

Regulatory assets under management

Total Number of Accounts	99,044
AUM (Assets Under Management)	$ 60,256,270,580

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/29/2025	Cover Page	Report
07/31/2024	Cover Page	Report
09/28/2023	Cover Page	Report
12/07/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

DENNIS J. HEIM

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HYA ADVISORS, INC

HEIM, YOUNG & ASSOCIATES, INC.

GREYSTONE SECURITIES CORPORATION

SECURITIES AMERICA, INC.

VSR FINANCIAL SERVICES, INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

MERCER GLOBAL ADVISORS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/22/1985

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/15/1986

Series 22

Date: 6/3/1985

Series 6

Date: 2/22/1985

Series 24

Date: 5/14/1993

Current Firm

MERCER GLOBAL ADVISORS INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MERCER GLOBAL ADVISORS INC.

TRUST BUT VERIFY

Contact information

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