Isaac Gregory Heath
Professional Summary
Isaac Gregory Heath is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Franklin, Tennessee and FIRST TRUST PORTFOLIOS L.P. located in Franklin, Tennessee. Isaac is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Isaac has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
18 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
FIRST TRUST ADVISORS LP
Contact Information
Main Address
120 E. Liberty Drive Suite 400, Wheaton, IL 60187Phone Number
(630) 765-8000# of Employees
542SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
6,316AUM (Assets Under Management)
$309,241,000,000Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
FIRST TRUST ADVISORS LP
State Registrations and Notice Filings
(12/8/2011)
(12/8/2011)
(8/30/2022)
(9/1/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Isaac Gregory Heath's CRS (Customer Relationship Summary).
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