Eric P. Heinz

ASSOCIATED INVESTMENT SERVICES

Green Bay, WI 54301-5114

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CRD#: 4615113

Professional summary

Eric Paul Heinz, who also goes by Eric P Heinz, is a registered financial advisor currently at ASSOCIATED INVESTMENT SERVICES, INC. located in Green Bay, Wisconsin.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Eric has worked at 11 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eric P Heinz

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.

Youth Basketball Referee; not investment-related; W6259 Rocky Mountain Dr, Greenville, WI; Referee; started 1/1/2024; 20 hours per month, none during trading hours; Referee youth basketball for various leagues & local tournaments on weekends during basketball season & sporadic throughout the year.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Paul Heinz's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Eric Paul Heinz'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®

None

Experience

Current

May 2, 2024 - Present

ASSOCIATED INVESTMENT SERVICES, INC.

Office #1: 433 Main Street, Green Bay, WI 54301-5114Office #2: 433 Main Street, Green Bay, WI 54301-5114

RIA

CRD#: 1464

Green Bay, WI

Current

April 26, 2024 - Present

ASSOCIATED INVESTMENT SERVICES, INC.

Office #1: 433 Main Street, Green Bay, WI 54301-5114Office #2: 433 Main Street, Green Bay, WI 54301-5114

RIA

CRD#: 1464

Green Bay, WI

Past

September 29, 2017 - May 18, 2023

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

Appleton, WI

Past

September 27, 2017 - May 18, 2023

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

Appleton, WI

Past

June 17, 2016 - June 16, 2017

SII INVESTMENTS, INC.

RIA

CRD#: 2225

APPLETON, WI

Past

June 17, 2016 - June 16, 2017

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

July 14, 2010 - July 13, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

AMHERST, WI

Past

July 14, 2010 - July 13, 2016

LPL FINANCIAL LLC

CRD#: 6413

AMHERST, WI

Past

February 24, 2010 - May 21, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

APPLETON, WI

Past

February 23, 2010 - May 21, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

APPLETON, WI

Past

April 2, 2007 - June 26, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

APPLETON, WI

Past

April 2, 2007 - June 26, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

APPLETON, WI

Past

December 8, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

APPLETON, WI

Past

December 8, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

APPLETON, WI

Past

August 26, 2004 - November 20, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

GREEN BAY, WI

Past

August 26, 2004 - November 20, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

GREEN BAY, WI

Past

July 1, 2003 - August 5, 2004

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

July 1, 2003 - August 5, 2004

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

March 7, 2003 - June 9, 2003

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

ASSOCIATED INVESTMENT SERVICES, INC.

CRD#: 1464 / SEC#: 801-71639, 8-99

RIA

Registered Investment Advisory firm - SEC (7/1/2010 Approved)

Illinois

Registered Investment Advisory firm - SEC (7/1/2010 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (7/21/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (7/20/2010 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alabama
(6/25/2024)

Alaska
(6/26/2024)

Arizona
(7/3/2024)

Arkansas
(7/10/2024)

California
(6/27/2024)

Colorado
(6/28/2024)

Connecticut
(6/26/2024)

Delaware
(7/1/2024)

Florida
(6/26/2024)

Georgia
(6/26/2024)

Hawaii
(8/21/2024)

Idaho
(6/25/2024)

IAR

Illinois
(5/24/2024)

Illinois
(6/5/2024)

Indiana
(6/26/2024)

Iowa
(6/26/2024)

Kansas
(6/25/2024)

Kentucky
(6/26/2024)

Louisiana
(7/1/2024)

Maine
(6/26/2024)

Maryland
(6/27/2024)

Massachusetts
(7/29/2024)

Michigan
(6/27/2024)

Minnesota
(5/22/2024)

IAR

Minnesota
(5/22/2024)

Mississippi
(6/26/2024)

Missouri
(6/27/2024)

Montana
(6/27/2024)

Nebraska
(6/25/2024)

Nevada
(6/25/2024)

New Hampshire
(7/1/2024)

New Jersey
(6/26/2024)

New Mexico
(6/26/2024)

New York
(6/26/2024)

North Carolina
(6/27/2024)

North Dakota
(7/3/2024)

Ohio
(6/26/2024)

Oklahoma
(6/26/2024)

Oregon
(6/27/2024)

Pennsylvania
(6/27/2024)

Rhode Island
(6/26/2024)

South Carolina
(6/27/2024)

South Dakota
(6/25/2024)

Tennessee
(6/26/2024)

Texas
(6/25/2024)

Utah
(6/26/2024)

Vermont
(6/26/2024)

Virginia
(6/26/2024)

Washington
(6/25/2024)

West Virginia
(7/1/2024)

Wisconsin
(5/2/2024)

IAR

Wisconsin
(5/2/2024)

Wyoming
(6/27/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/1/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/8/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/5/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ASSOCIATED INVESTMENT SERVICES, INC.

CRD#: 1464 / SEC#: 801-71639, 8-99

RIA

Registered Investment Advisory firm - SEC (7/1/2010 Approved)

Illinois

Registered Investment Advisory firm - SEC (7/1/2010 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (7/21/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (7/20/2010 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

433 Main Street, Green Bay, WI 54301-5114

Mailing Address

P.o. Box 640, Green Bay, WI 54305-0640

Phone number

(800) 595-7722

Established

Wisconsin since 03/23/1923

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (19 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

2025-08-29 FORM ADV (8/29/2025)

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	5,050
AUM (Assets Under Management)	$ 1,000,633,569

Disclosures

Regulatory Event	2
Arbitration	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/15/2025	Cover Page	Report
09/26/2024	Cover Page	Report
08/21/2023	Cover Page	Report
10/19/2022	Cover Page	Report

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

Eric P. Heinz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Paul Heinz's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Eric Paul Heinz's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSOCIATED INVESTMENT SERVICES, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

ASSOCIATED INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/1/2003

SIE

Date: 10/1/2018

Series 31

Date: 1/8/2007

Series 7

Date: 3/5/2003

FINRA

Current Firm

ASSOCIATED INVESTMENT SERVICES, INC.

Contact information

SEC notice filing (19 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ASSOCIATED INVESTMENT SERVICES, INC.

TRUST BUT VERIFY

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