Heather L. Kidde
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 L Kidde, who also goes by Heather E Kidde, Heather L Kidde, Heather E Lambert, was a registered financial professional .
Heather is a previously registered financial professional and started their career in finance in 2006. Heather had worked at 3 firms and has passed the Series 65, Series 63, 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
April 17, 2017 - November 21, 2019
ADVISORY RESEARCH INC
December 10, 2007 - February 15, 2017
CREDIT SUISSE SECURITIES (USA) LLC
December 10, 2007 - February 15, 2017
CREDIT SUISSE SECURITIES (USA) LLC
November 29, 2006 - December 18, 2007
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
ADVISORY RESEARCH INC
CRD#: 108254 / SEC#: 801-14172
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
ADVISORY RESEARCH INC
CRD#: 108254 / SEC#: 801-14172
Contact information
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 293 |
| AUM (Assets Under Management) | $ 721,521,157 |
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.
