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FREDERICK WARNER HEATH IV
FREDERICK WARNER HEATH, RICK HEATH
CRD#: 3256003
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 921 WALNUT ST
BOULDER, CO 80302
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 2000 (<1 year)2 FIRMS2000 - 2005 (5 years)2 FIRMS2005 - Present (19 years)
License(s)

State Registrations

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California 4/15/2005

B
Kansas 4/15/2005

B
Colorado 1/3/2012

B
New Hampshire 9/21/2006

IA
Colorado 7/24/2012

B
New York 7/10/2018

B
Connecticut 8/8/2017

B
North Carolina 10/16/2009

B
Florida 4/15/2005

B
Oregon 10/27/2006

B
Idaho 2/9/2023

B
Virginia 4/15/2005

B
Illinois 4/15/2005

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Virginia 4/15/2005

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
921 WALNUT ST, BOULDER, CO 80302
Niwot, CO
Registered with this firm since 4/15/2005

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
921 WALNUT ST, BOULDER, CO 80302
Niwot, CO
Registered with this firm since 4/15/2005

Previous Registration(s)
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10/02/2000 - 04/18/2005 MORGAN STANLEY (CRD#:7556) RESTON, VA
B
03/28/2000 - 04/18/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
08/14/1999 - 03/22/2000 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
08/14/1999 - 03/22/2000 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.