Stephanie L. Heaton
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.
Stephanie Lynn Heaton, who also goes by Stephanie Lynn Mason, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 2007. Stephanie had worked at 7 firms and has passed the Series 66, SIE 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
June 8, 2016 - February 5, 2018
VINTAGE WEST CAPITAL MANAGEMENT
June 3, 2016 - December 31, 2017
MUTUAL SECURITIES, INC.
December 1, 2014 - May 25, 2016
WELLS FARGO CLEARING SERVICES, LLC
November 28, 2014 - May 25, 2016
WELLS FARGO CLEARING SERVICES, LLC
October 17, 2011 - December 16, 2014
RBC CAPITAL MARKETS, LLC
October 17, 2011 - December 16, 2014
RBC CAPITAL MARKETS, LLC
June 1, 2009 - October 26, 2011
MORGAN STANLEY
June 1, 2009 - October 26, 2011
MORGAN STANLEY
July 17, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 17, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 4, 2007 - August 1, 2007
UBS FINANCIAL SERVICES INC.
February 28, 2007 - August 1, 2007
UBS FINANCIAL SERVICES INC.
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
VINTAGE WEST CAPITAL MANAGEMENT
CRD#: 170186 / SEC#: 801-79048
Contact information
Regulatory assets under management
| Total Number of Accounts | 377 |
| AUM (Assets Under Management) | $ 329,526,280 |
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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