Heather A. Failla

MERINO WEALTH MANAGEMENT

Cumming, GA

CRD#: 2315417

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Professional summary

Heather Ashworth Failla, CFP®, who also goes by Heather Joy Ashworth, Heather A Ashworthphenecie, Heather Ashworthphenecie, Heather Ashworth Phenecie, Heather Phenecie, is a registered financial advisor currently at MERINO WEALTH MANAGEMENT located in Cumming, Georgia.

Heather is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Heather has worked at 11 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Heather Joy Ashworth | Heather A Ashworthphenecie | Heather Ashworthphenecie | Heather Ashworth Phenecie | Heather Phenecie

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) - RIA

Click below to view Heather Ashworth Failla's CRS (Customer Relationship Summary).

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

Experience

Current

May 20, 2026 - Present

MERINO WEALTH MANAGEMENT

RIA

CRD#: 317535

Cumming, GA

Past

July 31, 2024 - December 16, 2025

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

ATLANTA, GA

Past

July 18, 2024 - December 16, 2025

MML INVESTORS SERVICES, LLC

CRD#: 10409

ATLANTA, GA

Past

March 4, 2022 - June 5, 2024

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

Cumming, GA

Past

March 4, 2022 - June 5, 2024

CITIZENS SECURITIES, INC.

CRD#: 39550

JOHNSTON, RI

Past

June 16, 2020 - February 9, 2022

MWA FINANCIAL SERVICES INC.

RIA

CRD#: 112630

DAWSONVILLE, GA

Past

February 27, 2020 - February 9, 2022

MWA FINANCIAL SERVICES INC.

CRD#: 112630

DAWSONVILLE, GA

Past

April 26, 2019 - September 25, 2019

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

CUMMING, GA

Past

April 25, 2019 - September 25, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

CUMMING, GA

Past

February 13, 2004 - March 24, 2004

NCF FINANCIAL SERVICES, INC.

RIA

CRD#: 120471

ALPHARETTA, GA

Past

February 11, 2004 - March 24, 2004

NCF FINANCIAL SERVICES, INC.

CRD#: 120471

DURHAM, NC

Past

October 19, 2001 - May 2, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 15, 1996 - October 24, 2001

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

November 12, 1993 - November 22, 1996

BARNETT INVESTMENTS, INC.

CRD#: 14897

JACKSONVILLE, FL

Past

March 22, 1993 - November 15, 1993

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

March 22, 1993 - November 15, 1993

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(5/20/2026)

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: 2/27/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/24/2017

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/1/2024

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 4/25/2019

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/24/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/18/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/31/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/24/2001

General Securities Sales Supervisor - General Module Examination

Current Firm

MERINO WEALTH MANAGEMENT

MERINO INCORPORATED | MERINO WEALTH MANAGEMENT | MERINO INCORPORATED DBA MERINO WEALTH MANAGEMENT

CRD#: 317535 / SEC#:

California

Registered Investment Advisory firm - (6/22/2022 Approved)

Illinois

Registered Investment Advisory firm - (2/14/2022 Approved)

Texas

Registered Investment Advisory firm - (4/20/2023 Conditional Restricted)

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Contact information

Main Address

2700 Patriot Boulevard Suite 250, Glenview, IL 60026

Mailing Address

Phone number

(312) 809-1109

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	383
AUM (Assets Under Management)	$ 49,884,206

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.

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Heather A. Failla

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Heather Ashworth Failla's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

MWA FINANCIAL SERVICES INC.

MWA FINANCIAL SERVICES INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

NCF FINANCIAL SERVICES, INC.

NCF FINANCIAL SERVICES, INC.

MORGAN STANLEY DW INC.

QUICK & REILLY, INC.

BARNETT INVESTMENTS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/27/2019

Series 65

Date: 10/24/2017

Series 7TO

Date: 3/1/2024

Series 6TO

Date: 4/25/2019

SIE

Date: 10/24/2018

Series 7

Date: 3/18/1993

Series 9

Date: 1/31/2001

Series 10

Date: 1/24/2001

Current Firm

MERINO WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MERINO WEALTH MANAGEMENT

TRUST BUT VERIFY

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