Tiffani K. Hein
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.
Tiffani Karin Hein, who also goes by Tiffani Karin Samsal, Samsal, was a registered financial professional .
Tiffani is a previously registered financial professional and started their career in finance in 2001. Tiffani had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2012 - August 28, 2013
FFEC WEALTH PARTNERS LLC
October 1, 2012 - August 27, 2013
FFEC WEALTH PARTNERS LLC
September 8, 2005 - October 3, 2012
RBC CAPITAL MARKETS, LLC
September 7, 2005 - October 3, 2012
RBC CAPITAL MARKETS, LLC
April 16, 2001 - September 6, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
