Eric P. Heinz
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.
Eric Paul Heinz, who also goes by Eric P Heinz, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2003. Eric had worked at 11 firms and has passed the Series 66, SIE, Series 31 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
May 2, 2024 - April 14, 2026
ASSOCIATED INVESTMENT SERVICES, INC.
April 26, 2024 - April 14, 2026
ASSOCIATED INVESTMENT SERVICES, INC.
September 29, 2017 - May 18, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
September 27, 2017 - May 18, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
June 17, 2016 - June 16, 2017
SII INVESTMENTS, INC.
June 17, 2016 - June 16, 2017
SII INVESTMENTS, INC.
July 14, 2010 - July 13, 2016
LPL FINANCIAL LLC
July 14, 2010 - July 13, 2016
LPL FINANCIAL LLC
February 24, 2010 - May 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
February 23, 2010 - May 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
April 2, 2007 - June 26, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 26, 2008
MORGAN STANLEY & CO. LLC
December 8, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
December 8, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
August 26, 2004 - November 20, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 2004 - November 20, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 2003 - August 5, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 1, 2003 - August 5, 2004
OSAIC FA, INC.
March 7, 2003 - June 9, 2003
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
ASSOCIATED INVESTMENT SERVICES, INC.
CRD#: 1464 / SEC#: 801-71639, 8-99
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
ASSOCIATED INVESTMENT SERVICES, INC.
CRD#: 1464 / SEC#: 801-71639, 8-99
Contact information
SEC notice filing (19 States and Territories)
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSOCIATED TRUST COMPANY, N.A. | SOLE SHAREHOLDER | |
| ARNOLD, ANDREW JAMES | DIRECTOR, TREASURER | 7744204 |
| BIESE, JUSTIN MICHAEL | PRINCIPAL, FINANCIAL REPORTING | 8134423 |
| CRAVILLION, BETH ANN | DIRECTOR OF SUPPORT SERVICES | 4770231 |
| DELOYE, DENNIS MICHAEL | DIRECTOR, BOARD OF DIRECTORS | 7555524 |
| HLADIO, JAYNE CLARA | DIRECTOR, BOARD OF DIRECTORS | 2497546 |
| HOCHHOLZER, MICHAEL ROBERT | DIRECTOR, BOARD OF DIRECTORS | 2878493 |
| KUIPERS, MICHAEL DAVID | DIRECTOR, PRESIDENT & CEO | 2436388 |
| PECORA, ANTHONY PHILIP | CHIEF COMPLIANCE OFFICER | 2975013 |
| SORENSON, HEATH WILLIAM | CHAIRMAN, BOARD OF DIRECTORS | 4528655 |
| ZANDPOUR, STEVEN SIA | DIRECTOR, BOARD OF DIRECTORS | 7174720 |
Regulatory assets under management
| Total Number of Accounts | 5,422 |
| AUM (Assets Under Management) | $ 1,169,239,099 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/15/2025 | ||
| 09/26/2024 | ||
| 08/21/2023 |
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.
