Randy A. Heinz
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.
Randy Allen Heinz was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1987. Randy had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10 and Series 8 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
Ohio University
Bachelor of Science (BS) - Communications
1987
Experience
July 13, 2018 - January 13, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 12, 2012 - July 13, 2018
STRATEGIC ADVISERS LLC
December 2, 1987 - January 13, 2025
FIDELITY BROKERAGE SERVICES LLC
October 5, 1987 - December 11, 1987
FORESTERS FINANCIAL SERVICES, 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: 9/22/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
Company Information
FIDELITY PERSONAL AND WORKPLACE ADVISORS
Market LeaderCRD#: 288590TRUST BUT VERIFY
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