Heidi A. Pemberton
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.
Heidi At Je Pemberton, who also goes by Heidi Atje Ansley, Heidi Atje Gabel, Heidi At Je Gabel, Heidi Atke Hielkema, Heidi Atje Lutrick, Heidi Ansley Valdez, was a registered financial professional .
Heidi is a previously registered financial professional and started their career in finance in 2009. Heidi had worked at 4 firms and has passed the Series 63, Series 22TO, Series 79TO, SIE, Series 62, Series 22 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
October 9, 2019 - July 9, 2021
THE LEADERS GROUP, INC.
March 1, 2011 - May 2, 2019
QUESTAR CAPITAL CORPORATION
September 23, 2010 - November 10, 2010
WFG INVESTMENTS, INC.
February 5, 2009 - July 23, 2010
RMC CAPITAL MARKETS GROUP, 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 22TO
Date: 12/21/2023
Direct Participation Programs Representative ExaminationSeries 79TO
Date: 12/21/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 6/6/2009
Corporate Securities Limited Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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