Heather S. Faxvog
Professional summary
Heather Simmons Faxvog, who also goes by Heather J Simmons, Heather Jo Simmons, Heather Simmons Westermeyer, is a registered financial professional currently at GRADIENT SECURITIES, LLC located in Arden Hills, Minnesota.
Heather is registered as a RR (Registered Representative) and started their career in finance in 1998. Heather has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Heather Simmons Faxvog's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 10, 2016 - Present
GRADIENT SECURITIES, LLC
Office #1: 4105 Lexington Avenue Suite 380, Arden Hills, MN 55126December 1, 2006 - January 23, 2014
QUESTAR CAPITAL CORPORATION
September 6, 2001 - December 1, 2006
USALLIANZ SECURITIES, INC.
February 3, 1998 - March 21, 2001
IDS LIFE INSURANCE COMPANY
February 3, 1998 - March 21, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
GRADIENT SECURITIES, LLC
CRD#: 127701 / SEC#: 801-80807, 8-66032
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/11/2016)
Exams
FINRA
Current Firm
GRADIENT SECURITIES, LLC
CRD#: 127701 / SEC#: 801-80807, 8-66032
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 7,322 |
| AUM (Assets Under Management) | $ 591,069,287 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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