Series 7 & 24 Securities Registrations*, Series 66 Advisory Registrations§
The financial sector hasn’t always been Heidi’s professional home. Early in her career, she oversaw the weekly sale operations and distribution process for one of the largest grocery chains on the East Coast. Heidi also built the Merchant Services group for a large consumer credit provider and headed up the Service and Support group for a specialized technology provider in the advertising industry.
In her role, Heidi works toward ensuring advisors and staff remain informed about (and trained on) changing industry regulations and requirements. She also serves as Compliance Liaison, responsible for facilitating the execution of our compliance requirements and responsibilities in relation to our broker/dealers.
- BS - Finance, Bryant University
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* Securities registrations are held with LPL Financial, Member FINRA/SIPC.
§ Series 66 held with the LPL Financial and Wealth Enhancement Advisory Services.