Heather C. Rosselle

DWS DISTRIBUTORS

Jacksonville, FL 32256

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CRD#: 2650901

Professional summary

Heather Constance Rosselle, who also goes by Heather Constance Miller, is a registered financial professional currently at DWS DISTRIBUTORS, INC. located in Jacksonville, Florida.

Heather is registered as a RR (Registered Representative) and started their career in finance in 1996. Heather has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Heather Constance Miller

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) - BD

Click below to view Heather Constance Rosselle'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®

None

Experience

Current

November 14, 2014 - Present

DWS DISTRIBUTORS, INC.

Office #1: 5201 Gate Parkway, Jacksonville, FL 32256

CRD#: 37306

Jacksonville, FL

Past

October 21, 2013 - July 28, 2014

LPL FINANCIAL LLC

CRD#: 6413

NEWPORT BEACH, CA

Past

September 13, 2012 - September 11, 2013

PIMCO INVESTMENTS LLC

CRD#: 154957

NEWPORT BEACH, CA

Past

July 6, 2012 - August 31, 2012

CHARLES SCHWAB & CO., INC.

CRD#: 5393

AUSTIN, TX

Past

September 25, 1996 - December 8, 2011

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(11/14/2014)

New York
(11/14/2014)

Exams

State Security Law Exam

Series 63

Date: 10/22/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/24/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/22/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

DWS DISTRIBUTORS, INC.

CRD#: 37306 / SEC#: , 8-47765

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

222 South Riverside Plaza, Chicago, IL 60606-5808

Mailing Address

875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022

Phone number

(212) 454-8608

Established

Delaware since 09/20/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
DWS INVESTMENT MANAGEMENT AMERICAS , INC.	SHAREHOLDER
ABBOTT, KEVIN S	CHIEF OPERATING OFFICER	4210778
BALUYOT, RHEEZA RAMOS	CHIEF FINANCIAL OFFICER	8028310
CHELEL, NICOLE M.	CHIEF COMPLIANCE OFFICER	4748490
IKUSS, AMANDA JEAN	VICE PRESIDENT & DIRECTOR	6602098
MAUTE, BRIAN C	CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT	2929953
REUTER, MICHELLE S	VICE PRESIDENT	6572669
SHIELDS, JOHN POWELL JR	DIRECTOR & VICE PRESIDENT	1950330
WILCZEWSKI, JOEL JOHN	VICE PRESIDENT	2815498

Disclosures

Regulatory Event	5
Arbitration	1

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Heather C. Rosselle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Heather Constance Rosselle's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

PIMCO INVESTMENTS LLC

CHARLES SCHWAB & CO., INC.

VANGUARD MARKETING CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 10/22/1996

SIE

Date: 10/1/2018

Series 7

Date: 8/20/1999

Series 6

Date: 9/24/1996

Series 24

Date: 4/22/2011

FINRA

Current Firm

DWS DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

DWS DISTRIBUTORS, INC.

TRUST BUT VERIFY

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