Heather A. Harville
Professional summary
Heather Ann Harville, who also goes by Heather Ann Wauford, is a registered financial professional currently at CAPFINANCIAL SECURITIES, LLC. located in Brentwood, Tennessee.
Heather is registered as a RR (Registered Representative) and started their career in finance in 2007. Heather has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Heather Ann Harville's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 22, 2026 - Present
CAPFINANCIAL SECURITIES, LLC.
Office #1: 5314 Maryland Way, Ste. 300, Brentwood, TN 37027July 30, 2007 - April 15, 2026
RAYMOND JAMES FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
(4/22/2026)
Exams
FINRA
Current Firm
CAPFINANCIAL SECURITIES, LLC.
CRD#: 126291 / SEC#: , 8-65870
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE CAPFINANCIAL GROUP, LLC | MEMBER | |
| BUCHANAN, DENISE MCGEE | CCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO | 1284353 |
| EARLS, MARY CHRISTINE | SENIOR DIRECTOR/FINOP | 6178047 |
| HOYLE, WILSON SMITH III | MANAGING DIRECTOR | 2444392 |
| SHOFF, DERICK DON | MANAGING DIRECTOR | 1140640 |
| STROTHER, MICHAEL DAVID | SENIOR DIRECTOR, FINOP | 2457427 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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