Heidi K. Mathai
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.
Heidi Kristina Mathai, who also goes by Heidi Kristina Huettner, Heidi Johnson, Heidi Mathai, Heidi Mathai-huettner, was a registered financial professional .
Heidi is a previously registered financial professional and started their career in finance in 2022. Heidi had worked at 1 firm and has passed the Series 79TO, Series 82TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2022 - January 1, 2024
QUINT CAPITAL CORPORATION
Primary Firm SEC Registration
QUINT CAPITAL CORPORATION
CRD#: 26586 / SEC#: 801-128990, 8-42649
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
Series 79TO
Date: 12/28/2021
Investment Banking Registered Representative ExaminationSeries 82TO
Date: 12/28/2021
Limited Representative-Private Securities OfferingsCurrent Firm
QUINT CAPITAL CORPORATION
CRD#: 26586 / SEC#: 801-128990, 8-42649
Contact information
SEC notice filing (7 States and Territories)
FINRA licenses (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 73 |
| AUM (Assets Under Management) | $ 147,573,714 |
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.
