Heather A. Barkley

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CRD#: 4385274

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 Alisa Barkley was a registered financial professional .

Heather is a previously registered financial professional and started their career in finance in 2001. Heather had worked at 8 firms and has passed the Series 65, Series 66, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 24, 2017 - April 4, 2022

PAUL COMSTOCK PARTNERS

RIA

CRD#: 105335

Houston, TX

Past

June 5, 2017 - August 7, 2017

MERCER GLOBAL ADVISORS INC.

RIA

CRD#: 147363

Houston, TX

Past

February 6, 2013 - September 27, 2013

WOODLANDS ASSET MANAGEMENT INC

RIA

CRD#: 108122

THE WOODLANDS, TX

Past

February 6, 2013 - September 27, 2013

NAVIGATOR SECURITIES LIMITED

CRD#: 22373

OMAHA, NE

Past

April 16, 2012 - June 28, 2012

WEALTH SOLUTIONS, INC.

RIA

CRD#: 35331

HOUSTON, TX

Past

March 29, 2012 - June 28, 2012

WEALTH SOLUTIONS, INC.

CRD#: 35331

HOUSTON, TX

Past

May 6, 2011 - March 13, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

HOUSTON, TX

Past

March 3, 2011 - March 13, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

HOUSTON, TX

Past

October 19, 2009 - October 18, 2010

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

June 4, 2001 - April 7, 2006

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PAUL COMSTOCK PARTNERS

FIRST ENDOWMENT DEVELOPMENT CORP | PAUL L. COMSTOCKCO | PAUL L. COMSTOCK CO | PAUL COMSTOCK PARTNERS

CRD#: 105335 / SEC#: 801-22496

RIA

Registered Investment Advisory firm - (11/5/1984 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 6/4/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/5/2011

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/8/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/1/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PAUL COMSTOCK PARTNERS

FIRST ENDOWMENT DEVELOPMENT CORP | PAUL L. COMSTOCKCO | PAUL L. COMSTOCK CO | PAUL COMSTOCK PARTNERS

CRD#: 105335 / SEC#: 801-22496

RIA

Registered Investment Advisory firm - (11/5/1984 Approved)

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Contact information

Main Address

1177 West Loop South Suite 1500, Houston, TX 77027

Mailing Address

Phone number

(713) 977-2694

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A - FIRM BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	118
AUM (Assets Under Management)	$ 2,238,868,684

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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Advisor Monitoring

Firm Stability Insights

Heather A. Barkley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERCER GLOBAL ADVISORS INC.

WOODLANDS ASSET MANAGEMENT INC

NAVIGATOR SECURITIES LIMITED

WEALTH SOLUTIONS, INC.

WEALTH SOLUTIONS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

NEXT FINANCIAL GROUP, INC.

INVESCO DISTRIBUTORS, INC.

Primary Firm SEC Registration

PAUL COMSTOCK PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 6/4/2017

Series 66

Date: 5/5/2011

Series 7

Date: 10/8/2009

Series 6

Date: 6/1/2001

Current Firm

PAUL COMSTOCK PARTNERS

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PAUL COMSTOCK PARTNERS

TRUST BUT VERIFY

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