Dennis HeimCRD Number: 1343699
Current Firm: Hya Advisors, Inc.
Dennis Heim (CRD# 1343699) is an Investment Advisor Representative working at Hya Advisors, Inc. in Springfield, MO and has over 31 years of experience in the finance industry. Dennis Heim 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.
Ledgestone Capital Management, LLC
The Wealth Conservatory
|Heim, Young & Associates||Springfield, MO||Jan 1996 - Current||20|
|Hya Advisors Inc.||Springfield, MO||Mar 1991 - Current||25|
|Hya Financial Corp||Springfield, MO||Jan 1989 - Current||27|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1985|
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 Management419MILLIONS
Total Number of Accounts2,198ACCOUNTS
Average Account Value$190,843
- 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
- Pension consulting services
AR, LA, MO, OK
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