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Alice Ann Heath

Cambridge Investment Research Advisors, Inc.

Salt Lake City, UT

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Current Employers
Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

AuthorityCategoryStatusDate
UT RA APPROVED 2026-02-10
  • UT RA
    APPROVED
    Since 2026-02-10

Branch Locations

6465 S 3000 E Ste 200, Salt Lake City, UT 84121 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Horizon Investments Llc Charlotte NC 11/2014 09/2023
Quasar Distributors, Llc Milwaukee WI 06/2016 09/2023
Sei Investments Oaks PA 09/2023 10/2025
Cambridge Investment Research, Inc. Fairfield IA 02/2026 Present
Cambridge Investment Research Advisors, Inc. Fairfield IA 02/2026 Present
Unemployed South Salt Lake UT 11/2025 01/2026
  • 11/2014 → 09/2023
    Horizon Investments Llc
    Charlotte, NC
  • 06/2016 → 09/2023
    Quasar Distributors, Llc
    Milwaukee, WI
  • 09/2023 → 10/2025
    Sei Investments
    Oaks, PA
  • 02/2026 → Present
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 02/2026 → Present
    Cambridge Investment Research Advisors, Inc.
    Fairfield, IA
  • 11/2025 → 01/2026
    Unemployed
    South Salt Lake, UT
Previous Registrations
Other Businesses

1. HEATH'S BLACKBERRY HILL, 205 LAURENCE AVE LAFAYETTE LA 70503, 06/2026, MINORITY MEMBER OF FAMILY LLC, REAL ESTATE, NIR, 0 HR/MO - 0 HR/MO TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-12-02
S63 Uniform Securities Agent State Law Examination 2016-10-08
  • S65 Uniform Investment Adviser Law Examination
    2016-12-02
  • S63 Uniform Securities Agent State Law Examination
    2016-10-08
Other Names
  • Alice Ann Heath
  • Alice Ann Heath

View on SEC IAPD

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