Heather L. Grones
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.
Heather Lee Grones, who also goes by Heather Grones, Heather Lee Young, was a registered financial professional .
Heather is a previously registered financial professional and started their career in finance in 2003. Heather had worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2015 - June 3, 2016
SUMMIT FINANCIAL GROUP INC
March 27, 2015 - June 3, 2016
SUMMIT BROKERAGE SERVICES, INC.
May 16, 2013 - March 27, 2015
BBVA SECURITIES INC.
March 27, 2012 - March 27, 2015
PNC MANAGED ACCOUNT SOLUTIONS, INC.
March 22, 2012 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
March 8, 2011 - March 7, 2012
WELLS FARGO CLEARING SERVICES, LLC
February 28, 2011 - March 7, 2012
WELLS FARGO CLEARING SERVICES, LLC
November 18, 2004 - June 16, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 14, 2003 - June 16, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SUMMIT FINANCIAL GROUP INC
CRD#: 109485 / SEC#: 801-56645
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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