Heather D. Clifton
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 Dawn Clifton, who also goes by Heather Dawn Smith, Heather Dawn Upton, Heather Dawn West, was a registered financial professional .
Heather is a previously registered financial professional and started their career in finance in 2005. Heather had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2018 - December 22, 2023
CABANA ASSET MANAGEMENT
February 9, 2017 - December 13, 2017
ARVEST WEALTH MANAGEMENT
February 7, 2017 - December 13, 2017
ARVEST WEALTH MANAGEMENT
December 17, 2008 - June 2, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 29, 2007 - June 2, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 9, 2005 - October 27, 2006
BB&T INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
CABANA ASSET MANAGEMENT
CRD#: 151418 / SEC#: 801-108439
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
CABANA ASSET MANAGEMENT
CRD#: 151418 / SEC#: 801-108439
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 425 |
| AUM (Assets Under Management) | $ 576,705,000 |
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.
