Curtis S. 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.
Curtis Stafford Heinz, CFP®, who also goes by Curt Heinz, Curtis Stafford Heinz Mr., Curtis Stafford Heinz, was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 1970. Curtis had worked at 14 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 1, Series 51 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
May 15, 2024 - November 21, 2024
EMPOWER ADVISORY GROUP, LLC
May 15, 2024 - November 21, 2024
EMPOWER FINANCIAL SERVICES, INC.
February 7, 2024 - April 22, 2024
ALLSTATE FINANCIAL ADVISORS, LLC
November 20, 2023 - April 22, 2024
ALLSTATE FINANCIAL SERVICES, LLC
January 2, 2014 - August 8, 2016
CORNERSTONE WEALTH
July 27, 2006 - April 21, 2014
LPL FINANCIAL LLC
July 27, 2006 - August 12, 2016
LPL FINANCIAL LLC
December 31, 2001 - July 28, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 5, 2000 - July 28, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 17, 1995 - May 15, 2000
EDWARD JONES
May 22, 1992 - October 3, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 15, 1989 - April 3, 1992
G. R. PHELPS & CO., INC.
December 24, 1986 - December 31, 1988
KEOGLER, MORGAN & COMPANY, INC.
December 22, 1982 - January 2, 1987
GKB, INC.
November 4, 1981 - January 5, 1983
INTEGRATED RESOURCES EQUITY CORPORATION
March 20, 1980 - September 4, 1981
THE COLUMBIAN SECURITIES CORPORATION
August 1, 1970 - December 21, 1981
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
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 6TO
Date: 11/18/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 7/24/1970
Registered Representative ExaminationCurrent Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
