Heather Hale (CRD# 4470449) is an Investment Advisor Representative working at Thoroughbred Financial Services, LLC in Brentwood, TN and has over 22 years of experience in the finance industry. Heather Hale 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# 2638266
Cypress Capital, LLC
CRD# 3240223
Ameriprise Financial Services, LLC
CRD# 2546494
Ameriprise Financial Services, LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Thoroughbred Financial Services, LLC | Brentwood, TN | Mar 2019 - Current | 5 |
| Peak Financial Planning, LLC | Nashville, TN | Apr 2017 - Mar 2019 | 1 |
| Cambridge Investment Research Advisors, Inc. | Fairfield, IA | Jul 2016 - Mar 2017 | < 1 |
| Nashville Private Wealth Management | Nashville, TN | Jul 2016 - Mar 2017 | < 1 |
| Metlife Securities | Franklin, TN | Jan 2015 - Jul 2016 | 1 |
| Transamerica Financial Advisors, Inc. | Brentwood, TN | Aug 2007 - Jan 2015 | 7 |
| Connect2docs | Miamisburg, OH | Apr 2014 - Oct 2014 | < 1 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Feb 2002 |
| S65 | NASAA Investment Advisors Law Examination | Mar 2004 |
- TN
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Total Assets Under Management2,914MILLIONS
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Total Number of Accounts6,330ACCOUNTS
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Average Account Value$460,299
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
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