Heather M. Willis
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 Morgan Willis, who also goes by Heather E Morgan, Heather Elizabeth Morgan, was a registered financial professional .
Heather is a previously registered financial professional and started their career in finance in 1997. Heather had worked at 3 firms and has passed the Series 63, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2008 - February 28, 2014
CROSS RESEARCH
August 14, 2003 - March 4, 2008
DEUTSCHE BANK SECURITIES INC.
February 18, 1997 - July 28, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CROSS RESEARCH
CRD#: 144823 / SEC#: , 8-67677
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CROSS, ROBERT JAMES | MANAGING MEMBER/CCO/50% OWNER | 4273661 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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