Heather I. Hutchinson

HUTCHINSON & ZIEGLER FINANCIAL ADVISORS

Novato, CA 94947

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CRD#: 2695325

Professional summary

Heather Irene Hutchinson, CFP®, who also goes by Heather Irene Hutchison, is a registered financial advisor currently at HUTCHINSON & ZIEGLER FINANCIAL ADVISORS, INC. located in Novato, California.

Heather is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Heather has worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Heather Irene Hutchison

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.

Heather Hutchinson (sole proprietor) - Marin SHiNE with Heather (dance fitness instructor) Not investment related 74 Laura Lane Fairfax, CA 94930 Hobby - dance fitness instructor. Started July, 2024 4 hours/month I lead a one-hour fitness class on Sunday mornings.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Heather Irene Hutchinson's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2000

Experience

Current

June 5, 2012 - Present

HUTCHINSON & ZIEGLER FINANCIAL ADVISORS, INC.

Office #1: 100 Professional Center Drive, Suite 114, Novato, CA 94947

RIA

CRD#: 145096

Novato, CA

Past

September 17, 2007 - December 31, 2010

HUTCHINSON & ZIEGLER FINANCIAL ADVISORS, INC.

RIA

CRD#: 145096

SAN RAFAEL, CA

Past

April 3, 2003 - October 19, 2007

HUTCHINSON FINANCIAL MANAGEMENT

RIA

CRD#: 134396

SAN FRANCISCO, CA

Past

November 4, 2002 - April 15, 2003

WADDELL & REED

RIA

CRD#: 866

NAPA, CA

Past

October 29, 2002 - April 15, 2003

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

November 21, 1996 - May 6, 1997

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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".

HUTCHINSON & ZIEGLER FINANCIAL ADVISORS, INC.

CRD#: 145096 / SEC#: 801-110476

RIA

Registered Investment Advisory firm - (4/24/2017 Approved)

California

Registered Investment Advisory firm - (6/8/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(6/5/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/1/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/4/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/28/2002

General Securities Representative Examination

Current Firm

HUTCHINSON & ZIEGLER FINANCIAL ADVISORS, INC.

CRD#: 145096 / SEC#: 801-110476

RIA

Registered Investment Advisory firm - (4/24/2017 Approved)

California

Registered Investment Advisory firm - (6/8/2017 Terminated)

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Contact information

Main Address

100 Professional Center Drive Suite 114, Novato, CA 94947

Mailing Address

Phone number

(415) 259-3933

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HUTCHINSON & ZIEGLER PART 2A & 2B BROCHURE - FEBRUARY 2025 (2/27/2025)

Regulatory assets under management

Total Number of Accounts	223
AUM (Assets Under Management)	$ 201,466,975

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.

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Advisor Monitoring

Firm Stability Insights

Heather I. Hutchinson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Heather Irene Hutchinson's CRS (Customer Relationship Summary).

Certified licenses

Experience

HUTCHINSON & ZIEGLER FINANCIAL ADVISORS, INC.

HUTCHINSON FINANCIAL MANAGEMENT

WADDELL & REED

WADDELL & REED

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

HUTCHINSON & ZIEGLER FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/1/2002

Series 63

Date: 11/4/1996

Series 7

Date: 10/28/2002

Current Firm

HUTCHINSON & ZIEGLER FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HUTCHINSON & ZIEGLER FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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