Patricia A. Heath
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.
Patricia Ann Heath, who also goes by Tricia Heath, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1989. Patricia had worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2007 - May 6, 2015
PATRICIA A. HEATH & ASSOCIATES, INC.
November 10, 2005 - August 1, 2007
WATERSTONE FINANCIAL GROUP, INC.
November 10, 2005 - August 1, 2007
WATERSTONE FINANCIAL GROUP, INC.
July 17, 2000 - November 15, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 5, 2000 - November 15, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 26, 1996 - January 14, 2000
WELLS FARGO CLEARING SERVICES, LLC
May 27, 1992 - August 20, 1996
WINGSPAN INVESTMENT SERVICES
September 20, 1989 - March 11, 1991
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PATRICIA A. HEATH & ASSOCIATES, INC.
CRD#: 140389 / SEC#: 801-67849
Contact information
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.
