Heather D. Patterson
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 Dair Patterson, who also goes by Heather Dair Moore, was a registered financial professional .
Heather is a previously registered financial professional and started their career in finance in 2007. Heather had worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2019 - August 4, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 5, 2013 - November 14, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 13, 2012 - August 4, 2020
TD AMERITRADE, INC.
November 13, 2012 - August 4, 2020
TD AMERITRADE, INC.
June 10, 2008 - April 11, 2011
TD AMERITRADE, INC.
June 10, 2008 - April 11, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 12, 2007 - April 11, 2011
TD AMERITRADE, 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
Series 7TO
Date: 3/13/2022
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
