HA
Heather M. Aked
RAYMOND JAMES (USA) LTD.
Esquimalt,
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CRD#: 6603016
HA
Professional summary
Heather Mary Aked is a registered financial advisor currently at RAYMOND JAMES (USA) LTD. .
Heather is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Heather has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
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.
1) RAYMOND JAMES LTD ("RJL"), A REGISTERED INVESTMENT DEALER WITH CIRO, IS THE CANADIAN AFFILIATE AND PARENT COMPANY OF RAYMOND JAMES (USA) LTD. THE BUSINESS IS INVESTMENT RELATED. HEATHER AKED IS LOCATED AT 555 BURRARD STREET, MAIN FLOOR, VANCOUVER, BC, V7X 1M8 AND HAS BEEN EMPLOYED SINCE AUGUST 2014. SHE IS A FULL TIME AGENT AND HER TITLE WITH RJL IS "ASSOCIATE FINANCIAL ADVISOR". SHE DEVOTES 160 HOURS A MONTH TO THIS BUSINESS DURING BUSINESS AND TRADING HOURS. HER JOB DUTIES INCLUDE SALES. 2)RAYMOND JAMES FINANCIAL PLANNING LTD ("RJFP") IS THE INSURANCE AND ESTATE PLANNING DIVISION OF RAYMOND JAMES LTD. RJFP DEALS WITH INSURANCE SOLUTIONS, WEALTH MANAGEMENT, TAX AND ESTATE PLANNING AND BUSINESS CONTINUITY. HEATHER AKED IS LOCATED AT 555 BURRARD STREET, MAIN FLOOR, VANCOUVER, BC, V7X 1M8 AND HAS BEEN LICENSED WITH RJFP SINCE March 2017. SHE IS A FULL-TIME AGENT. SHE DEVOTES 1 HOUR A MONTH TO THIS BUSINESS. HER JOB DUTIES INCLUDE LIFE INSURANCE SALES. 3) The Rotary Club of Oak Bay Foundation is not investment-related and is located at 207B-2187 Oak Bay Avenue, Victoria BC. This is a charity and I am a member. The start date of the business was July 2014. I devote 1 hour to this other business during business and trading hours. 4)Cornerstone Properties Strata Manager for Waters Edge Strata Plan Eps 1360 is not investment-related and is located at 1001 Cloverdale Avenue, #301, Victoria BC, V8X 4C9. This is a property management company and my position is Strata Council secretary. The start date of the business was September 2020. I devote 1 hour a month to this other business during business and trading hours. My duties are minute taking. 5)Rotary Club of Oak Bay is not investment related and is located at c/o Oak Bay Beach Hotel, 1175 Beach Drive, Victoria BC. This is a service club and I volunteer and fundraise. The start date of the business was June 1997. I devote 8 hours a month to this other business, 4 during business and trading hours. My duties are volunteering and fundraising. 6) Rental unit is not investment related and is located at 245-6596 Baird Road, Port Renfrew BC, V0S 1K0. This is Vacation Cottage that I rent. The start date of the business was August 2014. I devote 2 hours a month to this other business, 0 during business and trading hours. My duties are property maintenance. 7) Strata Plan EPS1360 "Wild Cost Cottages-Water's Edge" is not investment related and is located at 6596 Baird Rd, Port Renfrew BC V0S1K0. I am a cottage owner which is part of strata. The start date of the business was September 1, 2020. I devote 1 hours a month to this other business, 0 during business and trading hours. My duties are calling and conducting general meetings, preparing the budge and financial statement. Also, attending quarterly and annual general meeting, in conjunction with other members ensuring that the the strata council duties are carried out.
CRS (Client Relationship Summary) - RIA
Click below to view Heather Mary Aked's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 16, 2020 - Present
RAYMOND JAMES (USA) LTD.
Office #2: 120 Lonsdale Avenue Suite 300, Vancouver, V7M 2E8RIA
BD
CRD#: 25853
Esquimalt,
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(12/16/2020)
Current Firm
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
925 West Georgia Street - 2100, Vancouver, V6C3L2
Mailing Address
925 West Georgia Street - 2100, Vancouver, B.c., V6C 3L2
Phone number
(604) 659-8200
Established
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees
175
SEC notice filing (31 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES LTD. | OWNER | |
| AYYUB, HARRIS | SR. MANAGER & CHIEF COMPLIANCE OFFICER (ACTING) | 7789868 |
| BALEZENTIS, PATRICIA | DIRECTOR | 2262711 |
| BARKO, SHAWN JOSEPH | DIRECTOR | 2690394 |
| BOYLE, SEAN PATRICK | DIRECTOR | 5517025 |
| LIM, CHRISTOPHER JOHN | CHIEF FINANCIAL OFFICER | 6090679 |
| MARCUS, STEVEN ROBERT | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2820004 |
| SERBANOS, EFSTRATIOS MICHAEL | GENERAL COUNSEL | 2267667 |
Regulatory assets under management
| Total Number of Accounts | 4,869 |
| AUM (Assets Under Management) | $ 1,991,381,912 |
Disclosures
| Regulatory Event | 1 |
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.
