Heather M. Dupont
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 Michelle Dupont, who also goes by Heather M Leslie, Heather Michelle Leslie, was a registered financial professional .
Heather is a previously registered financial professional and started their career in finance in 2007. Heather had worked at 4 firms and has passed the Series 66 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
August 31, 2009 - May 18, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 26, 2009 - May 18, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 22, 2008 - August 3, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
September 22, 2008 - August 3, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
June 22, 2007 - April 22, 2008
EQUITABLE ADVISORS, LLC
June 12, 2007 - April 22, 2008
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
