Colleen J. Heptig
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.
Colleen Joyce Heptig, who also goes by Colleen Joyce Beal, Colleen Blanton, Colleen Joyce Heptig Mrs., Colleen Heptig, Colleen Joyce Rigney, was a registered financial professional .
Colleen is a previously registered financial professional and started their career in finance in 2003. Colleen had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2010 - May 6, 2024
NATIONWIDE INVESTMENT ADVISORS, LLC
December 7, 2010 - May 6, 2024
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 14, 2008 - November 5, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
November 14, 2006 - January 4, 2008
BB&T INVESTMENT SERVICES, INC.
October 22, 2003 - September 6, 2006
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
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
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 270,365 |
| AUM (Assets Under Management) | $ 15,686,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 01/26/2024 | ||
| 10/26/2022 |
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.
