Daniel T. Heth

PRESERVE WEALTH MANAGEMENT

Weaverville, NC

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CRD#: 2756335

Professional summary

Daniel Thomas Heth, CIMA® is a registered financial advisor currently at PRESERVE WEALTH MANAGEMENT located in Weaverville, North Carolina.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Daniel has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1)HETH FAMILY FOUNDATION / 84 Hickory Ridge Dr., Weaverville, NC 28787 / FOUNDATION/ OTHER PERSONAL DONOR ADVISED FUND THRU Fidelity Charitable / CHARITABLE CONTRIBUTIONS / MEMBER OF A COMMITTEE WITH MANAGEMENT OR SUPERVISORY FUNCTIONS / / GRANT MAKING AND INVESTMENT ALLOCATION / START DATE 7/1/2013

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Thomas Heth'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

September 10, 2019 - Present

PRESERVE WEALTH MANAGEMENT

RIA

CRD#: 304125

Weaverville, NC

Past

December 17, 2008 - September 3, 2019

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CONSHOHOCKEN, PA

Past

December 17, 2008 - September 3, 2019

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CONSHOHOCKEN, PA

Past

March 10, 2004 - December 18, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PHILADELPHIA, PA

Past

March 12, 2002 - December 18, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PHILADELPHIA, PA

Past

January 21, 1999 - June 15, 1999

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

January 29, 1997 - January 27, 1999

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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

New Jersey
(9/12/2019)

IAR

North Carolina
(9/10/2019)

IAR

Pennsylvania
(9/19/2019)

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: 3/15/2002

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/18/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/4/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/11/2002

General Securities Representative Examination

Current Firm

PRESERVE WEALTH MANAGEMENT

PRESERVE WEALTH MANAGEMENT | PRESERVE WEALTH MANAGEMENT, LLC

CRD#: 304125 / SEC#:

New Jersey

Registered Investment Advisory firm - (9/12/2019 Approved)

North Carolina

Registered Investment Advisory firm - (9/10/2019 Approved)

Pennsylvania

Registered Investment Advisory firm - (9/19/2019 Approved)

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Contact information

Main Address

Weaverville, NC

Mailing Address

Po Box 99, Weaverville, NC 28787

Phone number

(828) 352-8300

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	112
AUM (Assets Under Management)	$ 71,322,197

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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Daniel T. Heth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Thomas Heth's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/15/2002

Series 65

Date: 6/18/1997

Series 63

Date: 3/4/1997

SIE

Date: 10/1/2018

Series 7

Date: 3/11/2002

Current Firm

PRESERVE WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PRESERVE WEALTH MANAGEMENT

TRUST BUT VERIFY

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