TH
Thomas U. Heierli
GLOBAL WEALTH MANAGEMENT, L.C.
ST. GALLEN, 9004
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CRD#: 2694377
TH
Professional summary
Thomas Urs Heierli, who also goes by Thomas Heierli, is a registered financial advisor currently at GLOBAL WEALTH MANAGEMENT, L.C. .
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Thomas has worked at 1 firm and has passed the Series 65 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Heierli
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.
NAME OF BUSINESS:
WEALTH MANAGEMENT GROUP AG
INVESTMENT ADVISE & PORTFOLIO MANAGEMENT
FOR NON-US PERSONS
SCHMIEDGASSE 26, 9004 ST. GALLEN/SWITZERLAND
TITLE: MANAGING PARTNER FROM 08/1996-PRESENT
APPROXIMATE BUSINESS HOURS/MONTH: 20
APPROXIMATE HOURS/MONTH DURING TRADING HR: 20
DUTIES: PARTNER OF THE INVESTMENT COMMITEE AND INVESTMENT ADVISER
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Urs Heierli'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®
NoneExperience
Current
October 9, 2009 - Present
GLOBAL WEALTH MANAGEMENT, L.C.
Office #1: Schmiedgasse 28 1st Floor, St. Gallen 9004RIA
CRD#: 150743
ST. GALLEN,
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GW
GLOBAL WEALTH MANAGEMENT, L.C.
GLOBAL WEALTH MANAGEMENT, L.C. | GLOBAL WEALTH MANAGEMENT, L.C., MIAMI BEACH (US) ZWEIGNIEDERLASSUNG TEUFEN AR
CRD#: 150743 / SEC#: 801-77847
RIA
Registered Investment Advisory firm - (5/20/2013 Approved)Florida
Registered Investment Advisory firm - (7/3/2013 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Florida(10/9/2009)
IAR
Texas(3/30/2015)
Exams
State Security Law Exam
Principal/Supervisory Exam
Current Firm
GW
GLOBAL WEALTH MANAGEMENT, L.C.
GLOBAL WEALTH MANAGEMENT, L.C. | GLOBAL WEALTH MANAGEMENT, L.C., MIAMI BEACH (US) ZWEIGNIEDERLASSUNG TEUFEN AR
CRD#: 150743 / SEC#: 801-77847
RIA
Registered Investment Advisory firm - (5/20/2013 Approved)Florida
Registered Investment Advisory firm - (7/3/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
625 Se 10th Street Building 3, Deerfield Beach, FL 33441
Mailing Address
C/o Wealth Management Group Ag Claridenstrasse 20, Zurich 8002
Phone number
+1 (341) 201-5599
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 37 |
| AUM (Assets Under Management) | $ 174,842,252 |
Red Flags
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