HL
Heather Lozano
STIFEL, NICOLAUS & COMPANY
PITTSBURGH, PA 15222
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CRD#: 7083856
HL
Heather LozanoSTIFEL, NICOLAUS & COMPANY
Professional summary
Heather Lozano, who also goes by Heather Marie Laughlin, Heather Laughlin, Heather Marie Lozano, Heather Marie Price, Heather Price, Heather Marie Price Lozano, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Pittsburgh, Pennsylvania.
Heather is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Heather has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 9 exams.
Aliases
Heather Marie Laughlin | Heather Laughlin | Heather Marie Lozano | Heather Marie Price | Heather Price | Heather Marie Price Lozano
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.
Entity Name: Arizona Home Based Services Investment related: No "Address: Website: azhbs.com 2500 S Power Rd Bldg 9 Ste 133 Mesa, AZ 85209" Nature of the other business: Assisted Living Position/Title/Relationship: Employee/Contractor Start Date: 09/01/2022 Approximate # of hours a week: More than 20 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: I provide habilitation services to my son with special needs. He is allotted 24 hours a week. I help him feed himself, potty training, dressing, manage frustration, and identify family members. These services are provided nights and weekends.
CRS (Client Relationship Summary) - RIA
Click below to view Heather Lozano's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Heather Lozano'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
July 28, 2026 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1001 Liberty Avenue Suite 1100, Pittsburgh, PA 15222RIA
BD
CRD#: 793
PITTSBURGH, PA
Current
July 23, 2026 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1001 Liberty Avenue Suite 1100, Pittsburgh, PA 15222RIA
BD
CRD#: 793
PITTSBURGH, PA
Past
March 23, 2022 - August 7, 2026
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Westerville, OH
Past
March 23, 2022 - August 7, 2026
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Westerville, OH
Past
August 19, 2021 - February 15, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHANDLER, AZ
Past
August 19, 2021 - February 15, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHANDLER, AZ
Past
August 19, 2019 - February 11, 2020
EDWARD JONES
RIA
CRD#: 250
CHANDLER, AZ
Past
June 14, 2019 - February 11, 2020
EDWARD JONES
BD
CRD#: 250
CHANDLER, AZ
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".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Pennsylvania(7/23/2026)
IAR
Pennsylvania(7/28/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/14/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 180 |
| Civil Event | 2 |
| Arbitration | 61 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
