Kenneth HeckCRD Number: 4567941
Current Firm: Lpl Financial LLC
Kenneth Heck (CRD# 4567941) is an Investment Advisor Representative working at Lpl Financial LLC in Las Vegas, NV and has over 14 years of experience in the finance industry.
Kingsbridge Wealth Management, Inc.
Hornor, Townsend & Kent, Inc.
Cathay Consultants Ltd.
|Lpl Financial, LLC||Las Vegas, NV||Jul 2013 - Current||4|
|Bank Of America, Na||Las Vegas, NV||Jan 2010 - Jul 2013||3|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated (7691)||Las Vegas, NV||Oct 2009 - Jul 2013||3|
|Wachovia Securities, LLC||Las Vegas, NV||Jan 2008 - Oct 2009||1|
|A.g. Edwards & Sons, Inc.||Las Vegas, NV||Oct 2002 - Oct 2009||7|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 2002|
|S65||NASAA Investment Advisors Law Examination||Nov 2009|
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:
- Customer Dispute
Total Assets Under Management112,086MILLIONS
Total Number of Accounts531,091ACCOUNTS
Average Account Value$211,049
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- 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