Heather L. Crawford
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 Lynn Crawford, who also goes by Heather Lynn Ziernicki, was a registered financial professional .
Heather is a previously registered financial professional and started their career in finance in 2009. Heather had worked at 7 firms and has passed the Series 66, SIE, Series 31 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
June 17, 2016 - March 17, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
June 17, 2016 - March 17, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 24, 2013 - June 20, 2016
PNC WEALTH MANAGEMENT LLC
June 24, 2013 - June 20, 2016
PNC WEALTH MANAGEMENT LLC
October 17, 2011 - May 30, 2013
VALMARK ADVISERS, INC.
October 13, 2011 - May 30, 2013
VALMARK SECURITIES, INC.
July 19, 2010 - August 17, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 19, 2010 - August 17, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 2, 2009 - July 22, 2010
MORGAN STANLEY
October 30, 2009 - July 22, 2010
MORGAN STANLEY
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
