Heidi D. Dresbach
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.
Heidi Dawn Dresbach, who also goes by Heidi Dawn Conley, Heidi Dawn Dresbach, Heidi Dresbach, was a registered financial professional .
Heidi is a previously registered financial professional and started their career in finance in 1993. Heidi had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2021 - July 3, 2025
LPL FINANCIAL LLC
May 11, 2021 - July 3, 2025
LPL FINANCIAL LLC
November 16, 2020 - April 9, 2021
EMPOWER ADVISORY GROUP, LLC
November 12, 2020 - April 9, 2021
EMPOWER FINANCIAL SERVICES, INC.
July 16, 2020 - August 31, 2020
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
October 17, 2019 - December 3, 2019
CHARLES SCHWAB & CO., INC.
January 27, 2011 - December 3, 2019
CHARLES SCHWAB & CO., INC.
February 9, 2007 - August 18, 2010
PRINCIPAL SECURITIES, INC.
January 22, 2007 - August 18, 2010
PRINCIPAL SECURITIES, INC.
June 10, 2005 - January 5, 2007
MML DISTRIBUTORS, LLC
August 17, 2004 - January 4, 2005
ESSEX NATIONAL SECURITIES, LLC
December 4, 1997 - February 20, 2003
ENTERPRISE FUND DISTRIBUTORS, INC.
May 20, 1993 - November 7, 1997
FORESIDE DISTRIBUTION SERVICES, L.P.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
