Heather W. French
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 Wing French, who also goes by Heather Ann Wing, 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, Series 7TO, 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
November 21, 2003 - January 4, 2022
CAPITAL BROKERAGE CORPORATION
March 14, 2002 - November 10, 2003
LPL FINANCIAL LLC
October 24, 1996 - January 7, 2002
IDS LIFE INSURANCE COMPANY
October 24, 1996 - January 7, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
June 3, 1996 - July 9, 1996
BRANCH, CABELL & CO., INC.
April 19, 1996 - May 31, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
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 7TO
Date: 3/6/2024
General Securities Representative ExaminationCurrent Firm
CAPITAL BROKERAGE CORPORATION
CRD#: 10465 / SEC#: , 8-26614
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
| 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.
