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Heather Ogren Hale

Heather O. Hale

THOROUGHBRED FINANCIAL SERVICES
Brentwood, TN 37027-7508
Some features on this profile are disabled
CRD#: 4470449
Heather Ogren Hale

Professional summary

Heather Ogren Hale, CFP®, who also goes by Heather Hale, Heather Ogren, is a registered financial advisor currently at THOROUGHBRED FINANCIAL SERVICES, LLC located in Brentwood, Tennessee.

Heather is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Heather has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Heather Hale | Heather Ogren

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.
Diversified Partners, Inc, Investment Related, 5110 Maryland Way, Suite 300, Brentwood, TN 37027, Registered Investment Advisor, Secretary/ Treasurer, 10/2021- present, 20 hours per month; 16 hours during trading hours; handle administrative duties.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Heather Ogren Hale's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Heather Ogren Hale'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®
CFP®

Certified Financial Planner

Start date: 2016

Experience

Current

March 11, 2019 - Present

THOROUGHBRED FINANCIAL SERVICES, LLC

Office #1: 5110 Maryland Way, Suite 300, Brentwood, TN 37027-7508Office #2: 5110 Maryland Way, Suite 300, Brentwood, TN 37027-7508
RIA
BD
CRD#: 47893
Brentwood, TN
Current

March 11, 2019 - Present

THOROUGHBRED FINANCIAL SERVICES, LLC

Office #1: 5110 Maryland Way, Suite 300, Brentwood, TN 37027-7508Office #2: 5110 Maryland Way Suite 300, Brentwood, TN 37027
RIA
BD
CRD#: 47893
Brentwood, TN
Past

June 15, 2017 - March 6, 2019

PEAK FINANCIAL PLANNING, LLC

RIA
CRD#: 288338
NASHVILLE, TN
Past

July 18, 2016 - April 7, 2017

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
Nashville, TN
Past

July 15, 2016 - April 7, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
Nashville, TN
Past

January 16, 2015 - July 18, 2016

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
Franklin, TN
Past

January 16, 2015 - July 18, 2016

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
Franklin, TN
Past

January 6, 2012 - January 20, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
BRENTWOOD, TN
Past

January 6, 2012 - January 20, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
BRENTWOOD, TN
Past

January 11, 2008 - January 6, 2012

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA
CRD#: 139233
BRENTWOOD, TN
Past

August 27, 2007 - January 6, 2012

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
BRENTWOOD, TN
Past

February 17, 2004 - July 25, 2007

WORLD EQUITY GROUP, INC.

RIA
CRD#: 29087
BRENTWOOD, TN
Past

March 5, 2003 - July 25, 2007

WORLD EQUITY GROUP, INC.

BD
CRD#: 29087
SCHAUMBURG, IL
Past

April 12, 2002 - September 17, 2002

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
DULUTH, GA
Past

January 23, 2002 - April 12, 2002

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA

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".
TF
THOROUGHBRED FINANCIAL SERVICES, LLC
THOROUGHBRED FINANCIAL SERVICES, LLC

CRD#: 47893 / SEC#: 801-56741, 8-51944

RIA
Registered Investment Advisory firm - SEC (8/13/1999 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
Tennessee
(3/11/2019)
IAR
Tennessee
(3/11/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/1/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/4/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/7/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/5/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/22/2002
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/28/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TF
THOROUGHBRED FINANCIAL SERVICES, LLC
THOROUGHBRED FINANCIAL SERVICES, LLC

CRD#: 47893 / SEC#: 801-56741, 8-51944

RIA
Registered Investment Advisory firm - SEC (8/13/1999 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
5110 Maryland Way Suite 300, Brentwood, TN 37027-7508
Mailing Address
5110 Maryland Way Suite 300, Brentwood, TN 37027
Phone number
(615) 371-0001
Established
Tennessee since 06/24/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
34

SEC notice filing (22 States and Territories)

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

FINRA licenses (46 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

APPENDIX I THOROUGHBRED FINANCIAL SERVICES, LLC, WRAP FEE PROGRAM (3/31/2025)
THOROUGHBRED FINANCIAL SERVICES, LLC (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
PARKER FAMILY TRUSTMEMBER
ATKINS, JOHN SEXTONMEMBER709695
HARTLEY, LAWRENCE RANDALLMEMBER1235172
PARKER, PATRICK GIBBONSMEMBER709713
STEELE, BARRY GENEMEMBER1000525
WEDDINGTON, WILLIAM ALLENMEMBER709720
HERNDON, JACK CLARK JREXECUTIVE V.P. SECURITIES1286530
KELLY, DANIEL JAMESV.P. OPERATIONS - CCO, CFO2378762
PARKER, SUSAN SWEENEYTRUSTEE OF PARKER FAMILY TRUST3265529
PARKER, THOMAS JENKINSPRESIDENT, CEO356789

Regulatory assets under management

Total Number of Accounts6,789
AUM (Assets Under Management)$ 3,409,535,678

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

THOROUGHBRED FINANCIAL SERVICES, LLC

CRD#: 47893Brentwood, TN 37027-7508

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