Erik HeaveyCRD Number: 5043139
Current Firm: First Trust Advisors LP
Erik Heavey (CRD# 5043139) is an Investment Advisor Representative working at First Trust Advisors LP in Wheaton, IL and has over 15 years of experience in the finance industry.
Upper Left Wealth Management, LLC
Sequoia Wealth Management, LLC
Securities America Advisors, Inc.
|First Trust Portfolios LP||Wheaton, IL||Dec 2011 - Current||9|
|Claymore Securities, Inc.||Geneva, IL||Mar 2008 - Dec 2011||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 2005|
|S66||NASAA Uniform Combined State Law Examination||Apr 2012|
Total Assets Under Management171,578MILLIONS
Total Number of Accounts3,306ACCOUNTS
Average Account Value$51,898,972
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
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, WY
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