Heather Lynn Grubbs
Professional Summary
Heather Lynn Grubbs, who also goes by Heather Grubbs, Heather Lynn Vajda, is a registered financial advisor currently at FORESIDE FUND SERVICES, LLC located in Broomfield, Colorado. Heather is registered as a RR (Registered Representative) and started their career in finance in 2002. Heather has worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Heather Grubbs, Heather Lynn Vajda
Similar Advisors
OPPENHEIMER & CO. INC.
BRITEHORN SECURITIES
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OPPENHEIMER & CO. INC.
BRITEHORN SECURITIES
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OPPENHEIMER & CO. INC.
BRITEHORN SECURITIES
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OPPENHEIMER & CO. INC.
BRITEHORN SECURITIES
Years of Experience
24 years in the financial services industry
Current & Past Employments
Similar Advisors
OPPENHEIMER & CO. INC.
BRITEHORN SECURITIES
Current Firm
FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC
Contact Information
Main Address
190 Middle Street Suite 301, Portland, ME 04101Mailing Address
190 Middle Street Suite 301, Portland, ME 04101Phone Number
(207) 553-7110Established
Delaware since 09/08/1998Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | — |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Similar Advisors
OPPENHEIMER & CO. INC.
BRITEHORN SECURITIES
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
OPPENHEIMER & CO. INC.
BRITEHORN SECURITIES
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 2002About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Dec 2003About the Series 26 examSRO Registrations
Similar Advisors
OPPENHEIMER & CO. INC.
BRITEHORN SECURITIES
CRS (Client Relationship Summary) - BD
Click below to view Heather Lynn Grubbs's CRS (Customer Relationship Summary).
Similar Advisors
OPPENHEIMER & CO. INC.
BRITEHORN SECURITIES
