Karen L. Heath-wade
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.
Karen Lynn Heath-wade, CIMA®, who also goes by Karen Lynn Heath, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1994. Karen had worked at 14 firms and has passed the Series 65, Series 63, SIE, 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
July 19, 2018 - January 22, 2024
AMERICAN CENTURY INVESTMENT SERVICES INC.
July 19, 2017 - July 12, 2018
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
March 10, 2016 - July 18, 2017
NATIONWIDE INVESTMENT ADVISORS, LLC
May 9, 2012 - March 21, 2016
NATIONWIDE SECURITIES, LLC
July 31, 2009 - September 28, 2010
NATIONWIDE FUND DISTRIBUTORS LLC
July 11, 2007 - May 9, 2012
NATIONWIDE INVESTMENT ADVISORS, LLC
May 30, 2007 - July 18, 2017
NATIONWIDE INVESTMENT SERVICES CORPORATION
July 13, 2006 - March 19, 2007
CITICORP INVESTMENT SERVICES
July 10, 2006 - March 19, 2007
CITICORP INVESTMENT SERVICES
July 2, 2002 - June 14, 2006
PGIM INVESTMENTS LLC
June 6, 2002 - June 14, 2006
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 12, 2001 - April 1, 2002
PRUDENTIAL EQUITY GROUP, LLC
November 19, 1999 - June 21, 2001
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
May 21, 1998 - October 25, 1999
UBS FINANCIAL SERVICES INC.
February 10, 1998 - April 6, 1998
CHEVY CHASE FINANCIAL SERVICES
November 17, 1997 - February 18, 1998
UBS FINANCIAL SERVICES INC.
January 28, 1995 - August 20, 1997
UBS FINANCIAL SERVICES INC.
June 16, 1994 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
February 18, 1994 - May 4, 1994
CHATFIELD DEAN & CO., INC.
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
AMERICAN CENTURY INVESTMENT SERVICES INC.
CRD#: 17437 / SEC#: , 8-35220
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN CENTURY COMPANIES, INC. | PARENT COMPANY | |
| LUCHINSKY, RICHARD TODD | SVP, PRESIDENT | 2065489 |
| PAK, JOHN DONGJIN | CLO | 3226458 |
| REDLINE, CHERYL LOUISE | TREASURER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5371811 |
| SCHAPPERT, BRIAN JOSEPH | SVP, DIRECTOR | 5362490 |
| SHELTON, AMY DIANE | CCO | 2556023 |
| SMITH, RICHARD ANDREW | SVP, DIRECTOR | 6109979 |
| TURNER, MICHAEL RYAN | DIRECTOR | 5469914 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
