Heather D. Petersen
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 Dundee Petersen, who also goes by Heather Payne, was a registered financial professional .
Heather is a previously registered financial professional and started their career in finance in 2011. Heather had worked at 4 firms and has passed the Series 63, SIE 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
July 8, 2014 - February 20, 2015
CAPFI PARTNERS LLC
September 20, 2013 - May 31, 2016
MERCURY CAPITAL ADVISORS, LLC
January 24, 2012 - September 19, 2013
WEILD & CO.
September 30, 2011 - January 5, 2012
WJB CAPITAL 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
Current Firm
CAPFI PARTNERS LLC
CRD#: 113795 / SEC#: , 8-53406
Contact information
Disclosures
| Regulatory Event | 3 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| New York | ERA - Withdrawn - Failed to Renew | 12/31/2024 |
| Virginia | ERA - Withdrawn - Failed to Renew | 12/31/2024 |
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.
