HT
Heidi L. Tyler
EQUITABLE ADVISORS
Charlotte, NC 28262
Some features on this profile are disabled
CRD#: 4613021
HT
Professional summary
Heidi Lee Tyler, who also goes by Heidi Lee Casias, Heidi Casias, Heidi Lee Harris, Heidi Harris, Heidi Lee Tyler, Heidi Tyler, is a registered financial professional currently at EQUITABLE ADVISORS, LLC located in Charlotte, North Carolina and STIFEL INDEPENDENT ADVISORS, LLC located in St. Louis, Missouri.
Heidi is registered as a RR (Registered Representative) and started their career in finance in 2002. Heidi has worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Heidi Lee Casias | Heidi Casias | Heidi Lee Harris | Heidi Harris | Heidi Lee Tyler | Heidi Tyler
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.
CRS (Client Relationship Summary) - BD
Click below to view Heidi Lee Tyler's 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®
NoneExperience
Current
May 11, 2023 - Present
EQUITABLE ADVISORS, LLC
Office #1: 7207 Ibm Drive, Charlotte, NC 28262RIA
BD
CRD#: 6627
Charlotte, NC
Current
May 14, 2026 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: One Financial Plaza 501 North Broadway, St. Louis, MO 63102RIA
BD
CRD#: 28218
ST. LOUIS, MO
Past
January 30, 2020 - April 18, 2023
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Plano, TX
Past
November 15, 2018 - October 26, 2019
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Fort Worth, TX
Past
January 27, 2006 - February 23, 2006
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
October 21, 2005 - January 30, 2006
TD AMERITRADE CLEARING, INC.
BD
CRD#: 5633
OMAHA, NE
Past
December 4, 2002 - February 1, 2003
SIMMERS CAPITAL MANAGEMENT CORPORATION
BD
CRD#: 29960
PHOENIX, AZ
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".
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(5/14/2026)
RR
Alaska(5/19/2026)
RR
Arizona(5/14/2026)
RR
Arkansas(5/14/2026)
RR
California(5/14/2026)
RR
Colorado(5/14/2026)
RR
Connecticut(5/14/2026)
RR
Delaware(5/14/2026)
RR
District of Columbia(5/14/2026)
RR
Florida(5/14/2026)
RR
Georgia(5/14/2026)
RR
Hawaii(5/14/2026)
RR
Idaho(5/14/2026)
RR
Illinois(5/14/2026)
RR
Indiana(5/14/2026)
RR
Iowa(5/14/2026)
RR
Kansas(5/14/2026)
RR
Kentucky(5/14/2026)
RR
Louisiana(5/14/2026)
RR
Maine(5/14/2026)
RR
Maryland(5/14/2026)
RR
Massachusetts(5/19/2026)
RR
Michigan(5/14/2026)
RR
Minnesota(5/14/2026)
RR
Mississippi(5/14/2026)
RR
Missouri(5/14/2026)
RR
Montana(5/14/2026)
RR
Nebraska(5/19/2026)
RR
Nevada(5/19/2026)
RR
New Hampshire(5/14/2026)
RR
New Jersey(5/14/2026)
RR
New Mexico(5/14/2026)
RR
New York(5/14/2026)
RR
North Carolina(5/11/2023)
RR
North Dakota(5/14/2026)
RR
Ohio(5/14/2026)
RR
Oklahoma(5/14/2026)
RR
Oregon(5/19/2026)
RR
Pennsylvania(5/14/2026)
RR
Rhode Island(5/14/2026)
RR
South Carolina(5/14/2026)
RR
South Dakota(5/14/2026)
RR
Tennessee(5/14/2026)
RR
Texas(6/23/2025)
RR
Utah(5/15/2026)
RR
Vermont(5/14/2026)
RR
Virginia(5/19/2026)
RR
Washington(5/14/2026)
RR
West Virginia(5/19/2026)
RR
Wisconsin(5/14/2026)
RR
Wyoming(5/14/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One Financial Plaza 501 North Broadway, St Louis, MO 63102
Mailing Address
One Financial Plaza 501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-4051
Established
Missouri since 05/24/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
206
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQUITABLE DISTRIBUTION HOLDING CORPORATION | MEMBER | |
| KRUSZEWSKI, RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL | 1434827 |
| BRAUTIGAM, ALLEN COR | PRESIDENT AND CEO | 2400179 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER | 4696103 |
| DODSON, CHARLES EDWARD | CCO-ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL | 4970942 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| ROWAN, JAMES FRANCIS | PRINCIPAL FINANCIAL OFFICER | 1976998 |
Regulatory assets under management
| Total Number of Accounts | 11,648 |
| AUM (Assets Under Management) | $ 4,379,138,273 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 09/28/2023 |
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.
