Heather Gottlich, financial advisor Santa Monica CA
93 score

Heather Gottlich

CRD Number: 1813220
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Heather Gottlich (CRD# 1813220) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Santa Monica, CA and has over 29 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Santa Monica, CA Dec 2016 - Current 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Santa Monica, CA Nov 2016 - Current 1
Ubs Financial Services Inc. Beverly Hills, CA Jan 2010 - Nov 2016 6
Ubs Financial Services Inc. Woodland Hills, CA Dec 2008 - Jan 2010 1
Jp Morgan Securities Inc. Los Angeles, CA Aug 2008 - Dec 2008 < 1
Bear, Stearns & Company Inc. Los Angeles, CA Jul 1987 - Aug 2008 21
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1988
S65 NASAA Investment Advisors Law Examination Sep 1998
Contact Info for Heather R. Gottlich
Phone Number: 800-637-7455
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    639,574
    MILLIONS
  • Total Number of Accounts
    1,831,494
    ACCOUNTS
  • Average Account Value
    $349,209
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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