Heather L. Thompson-eisenhardt
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.
Heather Lynn Thompson-eisenhardt, who also goes by Heather Lynn Eisenhardt, Heather Lynn Thompson, Heather Thompson, Heather Lynn Thompson-eisenhardt, Heather Lynn Thompsoneisenhardt, was a registered financial professional .
Heather is a previously registered financial professional and started their career in finance in 1996. Heather had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2019 - September 4, 2024
INVESCO DISTRIBUTORS, INC.
January 1, 2010 - March 6, 2018
INVESCO ADVISERS, INC.
May 25, 2005 - January 1, 2010
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
June 14, 2004 - March 5, 2018
INVESCO DISTRIBUTORS, INC.
May 2, 2001 - October 27, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 2001 - October 27, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 22, 2000 - March 29, 2001
CHARLES SCHWAB & CO., INC.
July 23, 1996 - March 28, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
INVESCO DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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