Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
RACHEL SARAH HEISER
CRD#: 6196860
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 999 3RD AVE
STE 4000
SEATTLE, WA 98104
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2014 - Present (10 years)BMORGAN STANLEY (CRD# 149777)2013 - 2014 (<1 year)BMORGAN STANLEY (CRD# 149777)2013 - 2013 (<1 year)IAMORGAN STANLEY (CRD# 149777)2014 - 2014 (<1 year)
License(s)

State Registrations

B
Alaska 6/6/2014
B
New York 6/6/2014
B
Arizona 6/6/2014
B
North Carolina 3/6/2015
B
California 6/6/2014
B
Ohio 6/9/2014
B
Colorado 3/4/2015
B
Oklahoma 6/6/2014
B
Connecticut 6/6/2014
B
Oregon 6/6/2014
B
Delaware 6/6/2014
B
Pennsylvania 6/6/2014
B
Florida 6/6/2014
B
South Carolina 6/6/2014
B
Idaho 6/6/2014
B
South Dakota 2/1/2018
B
Iowa 5/17/2023
B
Tennessee 1/11/2024
B
Kentucky 3/4/2015
B
Texas 6/14/2021
B
Maryland 6/6/2014
IA
Texas 6/15/2021
B
Michigan 11/9/2022
B
Utah 10/16/2014
B
Minnesota 6/6/2014
B
Virginia 3/4/2015
B
Montana 7/14/2014
B
Washington 5/16/2014
B
Nevada 5/17/2021
IA
Washington 5/16/2014
B
New Mexico 3/4/2015

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

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
WELLS FARGO ADVISORS (CRD#:19616)
999 3RD AVE STE 4000, SEATTLE, WA 98104
Seattle, WA
Registered with this firm since 5/16/2014
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
999 3RD AVE STE 4000, SEATTLE, WA 98104
Seattle, WA
Registered with this firm since 5/16/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/04/2014 - 05/20/2014 MORGAN STANLEY (CRD#:149777) BELLEVUE, WA
B
 10/14/2013 - 05/20/2014 MORGAN STANLEY (CRD#:149777) BELLEVUE, WA
B
 06/27/2013 - 09/05/2013 MORGAN STANLEY (CRD#:149777) BELLEVUE, WA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.