Mary HeckCRD Number: 1052196
Current Firm: Principal Securities, Inc.
Mary Heck (CRD# 1052196) is an Investment Advisor Representative working at Principal Securities, Inc. in Omaha, NE and has over 30 years of experience in the finance industry. Mary Heck 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.
Cambridge Investment Research Advisors, Inc.
Wells Fargo Advisors, LLC
Mutual Of Omaha Investor Services, Inc.
|Heck & Moeller Financial Services||Omaha, NE||Apr 2011 - Current||5|
|Principal Life Insurance Comp||Omaha, NE||Jul 1998 - Current||18|
|Princor Financial Services Corporation||Omaha, NE||May 1982 - Current||34|
|Heck And Richards Financial Services||Omaha, NE||Jan 2010 - Mar 2011||1|
|Mp Financial Services||Omaha, NE||Mar 2010 - May 2010||< 1|
|Mp Financial Innovations||Omaha, NE||Aug 2000 - Mar 2010||9|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1986|
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 Management1,622MILLIONS
Total Number of Accounts15,486ACCOUNTS
Average Account Value$104,766
- 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
- 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, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV