Heidi M. Wivolin
Professional summary
Heidi Marika Wivolin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Heidi is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, Heidi had worked at 6 firms, which includes NEXT FINANCIAL GROUP INC., 1ST DISCOUNT BROKERAGE INC., STERLING FINANCIAL INVESTMENT GROUP INC., BOLTON GLOBAL CAPITAL, SECURITIES AMERICA INC., SECURITIES SERVICE NETWORK LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2011 - February 21, 2014
NEXT FINANCIAL GROUP, INC.
February 10, 2009 - February 21, 2014
NEXT FINANCIAL GROUP, INC.
October 10, 2005 - December 31, 2008
1ST DISCOUNT BROKERAGE, INC.
July 22, 2002 - September 26, 2005
STERLING FINANCIAL INVESTMENT GROUP, INC.
January 3, 2002 - June 20, 2002
BOLTON GLOBAL CAPITAL
May 6, 1997 - January 3, 2002
SECURITIES AMERICA, INC.
April 25, 1996 - May 2, 1997
SECURITIES SERVICE NETWORK, 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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
