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Heather Holmes
HEATHER ANN BROWN
CRD#: 6381314
IA
B
MORGAN STANLEYCRD#: 149777 4801 N. BUTLER
SUITE 14101
FARMINGTON, NM 87401
SUITE 14101
FARMINGTON, NM 87401
0
Disclosures
10
Years of Experience
View By:
State Registrations
B
Alabama 11/14/2022
B
Nevada 9/27/2019
B
Alaska 11/25/2022
B
New Hampshire 11/18/2022
B
Arizona 9/27/2019
B
New Jersey 11/14/2022
B
Arkansas 12/8/2020
B
New Mexico 9/27/2019
B
California 9/27/2019
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New Mexico 9/30/2019
B
Colorado 9/27/2019
B
New York 11/12/2022
B
Connecticut 9/27/2019
B
North Carolina 12/8/2020
B
Delaware 12/2/2022
B
North Dakota 12/15/2020
B
District of Columbia 11/16/2022
B
Ohio 11/14/2022
B
Florida 9/27/2019
B
Oklahoma 11/15/2022
B
Georgia 12/4/2020
B
Oregon 9/27/2019
B
Hawaii 11/15/2022
B
Pennsylvania 9/27/2019
B
Idaho 12/22/2021
B
Puerto Rico 12/7/2020
B
Illinois 12/8/2020
B
Rhode Island 12/4/2020
B
Indiana 12/4/2020
B
South Carolina 12/7/2020
B
Iowa 11/15/2022
B
South Dakota 12/4/2020
B
Kansas 11/14/2022
B
Tennessee 1/5/2022
B
Kentucky 11/15/2022
B
Texas 9/27/2019
B
Louisiana 11/14/2022
IA
Texas 9/27/2019
B
Maine 11/14/2022
B
Utah 9/27/2019
B
Maryland 11/15/2022
B
Vermont 11/15/2022
B
Massachusetts 12/8/2020
B
Virgin Islands 11/15/2022
B
Michigan 11/15/2022
B
Virginia 11/14/2022
B
Minnesota 12/8/2020
B
Washington 12/7/2020
B
Mississippi 12/4/2020
B
West Virginia 11/14/2022
B
Missouri 11/14/2022
B
Wisconsin 12/7/2020
B
Montana 6/16/2021
B
Wyoming 2/22/2021
B
Nebraska 12/21/2020
SRO Registrations
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B
B
B
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IA
Registered with this firm since 9/27/2019
B
Registered with this firm since 9/27/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/10/2014 - 10/02/2019 | FARMINGTON, NM | |
B | 11/04/2014 - 10/02/2019 | FARMINGTON, NM |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.