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HM

Heather L. Mosbacher

BROWN, GIBBONS, LANG & COMPANY SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 2985770
HM

Professional summary

Heather Lynn Mosbacher, who also goes by Heather L Mosbacher, Heather Mosbacher Reiner, Heather M. Reiner, is a registered financial professional currently at BROWN, GIBBONS, LANG & COMPANY SECURITIES, LLC located in New York, New York.

Heather is registered as a RR (Registered Representative) and started their career in finance in 1998. Heather has worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Heather L Mosbacher | Heather Mosbacher Reiner | Heather M. Reiner

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Heather Lynn Mosbacher's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 16, 2020 - Present

BROWN, GIBBONS, LANG & COMPANY SECURITIES, LLC

Office #1: 489 Fifth Avenue 23rd Floor, New York, NY 10017
BD
CRD#: 29540
New York, NY
Past

April 4, 2016 - June 15, 2020

WILLIAM BLAIR

BD
CRD#: 1252
NEW YORK, NY
Past

October 23, 2013 - March 1, 2016

GORDIAN GROUP, LLC

BD
CRD#: 24034
NEW YORK, NY
Past

December 13, 2012 - October 18, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

October 3, 2012 - October 18, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

October 23, 2003 - October 13, 2011

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

November 4, 1998 - April 17, 2003

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

February 6, 1998 - November 3, 1998

CITICORP SECURITIES, INC.

BD
CRD#: 7474
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(10/19/2020)
RR
Ohio
(10/22/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/12/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/12/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/5/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BG
BROWN, GIBBONS, LANG & COMPANY SECURITIES, LLC
B. G. SECURITIES, INC. | BROWN, GIBBONS, LANG & COMPANY SECURITIES, LLC | BROWN, GIBBONS, LANG & COMPANY SECURITIES, INC. | BROWN, GIBBONS & COMPANY SECURITIES, INC.

CRD#: 29540 / SEC#: , 8-44816

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
1375 E. 9th Street Suite 2500, Cleveland, OH 44114
Mailing Address
1375 E. 9th Street Suite 2500, Cleveland, OH 44114
Phone number
(216) 241-2800
Established
Delaware since 01/01/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (14 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BGL HOLDCO LLCOWNER
PETRYK, ANDREW KELLEYCEO & CCO1548442
RIORDAN, TIFFANYFINOP/PFO/POO6313437

Disclosures

Regulatory Event1

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.

Company Information

BROWN, GIBBONS, LANG & COMPANY SECURITIES, LLC

CRD#: 29540New York, NY 10017

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