Heather D. Augustine
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 Dawn Augustine was a registered financial professional .
Heather is a previously registered financial professional and started their career in finance in 1996. Heather had worked at 9 firms and has passed the Series 66, Series 63, 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
November 26, 2012 - April 13, 2015
ORION PORTFOLIO SOLUTIONS, LLC
June 5, 2012 - July 24, 2012
CAPITAL ANALYSTS
June 1, 2012 - July 16, 2012
LINCOLN INVESTMENT
June 1, 2012 - July 16, 2012
LINCOLN INVESTMENT
March 18, 2009 - June 1, 2012
CINCINNATI ANALYSTS, INC.
March 4, 2008 - June 1, 2012
CINCINNATI ANALYSTS, INC.
July 25, 2003 - October 2, 2006
NATCITY INVESTMENTS, INC.
August 30, 1999 - March 7, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
March 21, 1998 - May 27, 1998
CITIGROUP GLOBAL MARKETS INC.
March 21, 1998 - May 27, 1998
SALOMON BROTHERS INC.
March 5, 1996 - June 23, 1997
FIDELITY BROKERAGE 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
Current Firm
ORION PORTFOLIO SOLUTIONS, LLC
CRD#: 125446 / SEC#: 801-61964
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 81,242 |
| AUM (Assets Under Management) | $ 14,194,829,219 |
Red Flags
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