Heather Brountas (CRD# 3055206) is an Investment Advisor Representative working at Aon Hewitt Financial Advisors, LLC in Charlotte, NC and has over 20 years of experience in the finance industry. Heather Brountas has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 3089483
Prospera Financial Services, Inc.
CRD# 2500734
Dalton Financial LLC
CRD# 2082331
M Holdings Securities, Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Alight Financial Solutions, LLC | Charlotte, NC | Dec 2017 - Current | 1 |
| Alight Financial Advisors, LLC | Charlotte, NC | Dec 2017 - Current | 1 |
| Ameriprise Financial Services Inc. | Huntersville, NC | Feb 2017 - Nov 2017 | < 1 |
| Axa Advisors, LLC | New York, NY | Jun 2016 - Feb 2017 | < 1 |
| Unemployed | Cornelius, NC | May 2016 - Jun 2016 | < 1 |
| Ameriprise Financial Services Inc. | Cornelius, NC | Nov 2015 - May 2016 | < 1 |
| Bonfiglio, Kiley & Associates | Bedford, NH | Sep 2009 - Oct 2015 | 6 |
| O'keefe & Associates | York, ME | Feb 2009 - Sep 2009 | < 1 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jul 1998 |
| S65 | NASAA Investment Advisors Law Examination | Aug 2016 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.
Reported Disclosure Event:- Financial Issue
- NC
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Total Assets Under Management26,995MILLIONS
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Total Number of Accounts219,624ACCOUNTS
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Average Account Value$122,916
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Other
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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