Heather Elizabeth Sutter

Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

• Financial planning
• Selection of other advisers
• WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2011 → Present
  Charles Schwab & Co., Inc.
  Indianapolis, IN
• 09/2014 → Present
  Finra
  Chicago, IL
• 03/2015 → 07/2021
  Charles Schwab Bank, Ssb
  Carmel, IN
• 12/2012 → 10/2017
  Optionsxpress
  Chicago, IL

Other Businesses

FINRA, CHICAGO, ILLINOIS, INVESTMENT RELATED, 09/03/2014, ARBITRATOR, LESS THAN 20 HOURS PER MONTH, APPROXIMATELY 0.1 HOURS DURING SECURITIES TRADING HOURS.

Exams

• S66 Uniform Combined State Law Examination
  2014-09-09
• S63 Uniform Securities Agent State Law Examination
  2007-11-05

Other Names

• Heather Elisabeth Dow