Heather Branch

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-12-12
AL	RA	APPROVED	2019-05-30

TX RA
APPROVED_RES

Since 2019-12-12
AL RA
APPROVED

Since 2019-05-30

Branch Locations

2535 Us Hwy 98, Daphne, AL 36526 • United States

2801 Highway 280 S Ste 400 [A1-Rbo], Birmingham, AL 35223 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Raymond James & Associates, Inc.	Decatur	AL	02/2014	11/2018
Stifel Nicolaus & Co Inc	Mobile	AL	11/2018	04/2019
Wells Fargo Clearing Services, Llc	Daphne	AL	04/2019	Present

02/2014 → 11/2018

Raymond James & Associates, Inc.

Decatur, AL
11/2018 → 04/2019

Stifel Nicolaus & Co Inc

Mobile, AL
04/2019 → Present

Wells Fargo Clearing Services, Llc

Daphne, AL

Previous Registrations

2018-12-04 → 2019-04-26

Stifel, Nicolaus & Company, Incorporated

Mobile, AL
2014-02-13 → 2018-11-27

Raymond James & Associates, Inc.

Decatur, AL
2012-11-01 → 2014-02-21

Investment Professionals, Inc.

San Antonio, TX

Cullman, AL
2012-02-07 → 2012-11-01

Edward Jones

Decatur, AL
2008-12-23 → 2011-02-08

Morgan Keegan & Company, Llc

Decatur, AL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-12-22

S66 Uniform Combined State Law Examination

2008-12-22

Other Names

Heather Anne Carpenter
Heather Anne Jones
Heather Anne Branch

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews