Heath L. Mcpherson
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.
Heath Lee Mcpherson was a registered financial professional .
Heath is a previously registered financial professional and started their career in finance in 1996. Heath had worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, 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
December 18, 2015 - December 16, 2024
NATIONAL FINANCIAL SERVICES LLC
October 2, 2012 - July 2, 2013
NATIONAL FINANCIAL SERVICES LLC
October 2, 2012 - October 14, 2015
FIDELITY BROKERAGE SERVICES LLC
February 28, 2012 - August 8, 2012
WFG ADVISORS, LP
February 28, 2012 - August 8, 2012
WFG INVESTMENTS, INC.
November 23, 2005 - December 14, 2011
MCPHERSON & MAYBERRY PERSONAL WEALTH MANAGEMENT
September 15, 1997 - December 15, 2011
WFG INVESTMENTS, INC.
November 6, 1996 - August 12, 1997
FIDELITY DISTRIBUTORS COMPANY LLC
June 14, 1996 - July 29, 1996
IDS LIFE INSURANCE COMPANY
June 14, 1996 - July 29, 1996
AMERIPRISE FINANCIAL 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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