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KH

Kimberly J. Heron

Some features on this profile are disabled
CRD#: 7021678
KH

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.

Kimberly Jo Heron, who also goes by Kim Heron, Kimberly Jo Stevens, was a registered financial professional .

Kimberly is a previously registered financial professional and started their career in finance in 2018. Kimberly had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kim Heron | Kimberly Jo Stevens

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 26, 2020 - June 9, 2020

HIGHPOINT PLANNING PARTNERS

RIA
CRD#: 163768
Grayslake, IL
Past

January 29, 2019 - August 8, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
SKOKIE, IL
Past

December 18, 2018 - August 8, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
SKOKIE, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/28/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/18/2018
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/12/2018
Securities Industry Essentials Examination

Current Firm

HP
HIGHPOINT PLANNING PARTNERS
ASPIRE DIVORCE SOLUTIONS, LLC | VERTEX PLANNING PARTNERS, LLC | TWIN ROCKS ASSET MANAGEMENT | TWG WEALTH PARTNERS | THE SCHAFFNIT GROUP | THE ASSOCIATES GROUP | STONEBRIDGE WEALTH ADVISORS | SAFE HARBOR RETIREMENT CONSULTANTS, LLC | SA PIGGUSH FINANCIAL CONSULTANTS | ROUND HILL WEALTH MANAGEMENT | ROGER J. ENSMINGER & ASSOCIATES | RMD WEALTH MANAGEMENT | PARTNERS ADVISORS LTD. | ONPATH FINANCIAL, LLC | MODEL WEALTH | MIKE LYNCH, INC. | MIDWEST FAMILY WEALTH MANAGEMENT | MCCABE FINANCIAL GROUP | LLOYD WEALTH ADVISORS | LIGHTHOUSE FINANCIAL GROUP | KENNEDY FINANCIAL GROUP | KEITH E. MURPHY | KCT FINANCIAL | HIGHPOINT PLANNING PARTNERS, LLC | HIGHPOINT PLANNING PARTNERS | HIGHPOINT ADVISOR GROUP, LLC | G/R WEALTH MANAGEMENT GROUP LLC | EQUILIBRIUM WEALTH MANAGEMENT | EINSPAR FAMILY FINANCIAL | DOAK FINANCIAL, LLC | CHASE ENTERPRISES FINANCIAL | CB3 FINANCIAL GROUP INC. | CAPITAL STREET ADVISORS | BLACK DIAMOND PLANNERS | BENEFIT PARTNERS FINANCIAL GROUP | AXIS WEALTH ADVISORS, LLC | ASPIRE PLANNING GROUP LLC

CRD#: 163768 / SEC#: 801-76675

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Contact information

Main Address
2651 Warrenville Road Suite 200, Downers Grove, IL 60515
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

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.

Company Information

HIGHPOINT PLANNING PARTNERS

CRD#: 163768

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