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Heidi Birgit Harms

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL

Green Bay, WI

Sobieski, WI

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2019-08-28
TX RA APPROVED_RES 2014-02-19
IN RA APPROVED 2012-04-12
IL RA APPROVED 2009-09-16
  • WI RA
    APPROVED
    Since 2019-08-28
  • TX RA
    APPROVED_RES
    Since 2014-02-19
  • IN RA
    APPROVED
    Since 2012-04-12
  • IL RA
    APPROVED
    Since 2009-09-16

Branch Locations

110 N Wacker Dr Division - Central, Chicago, IL 60606 • United States

480 Pilgrim Way, Green Bay, WI 54304 • United States

Sobieski, WI • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Green Bay WI 03/1994 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-12-16
S63 Uniform Securities Agent State Law Examination 1995-12-05
  • S66 Uniform Combined State Law Examination
    2005-12-16
  • S63 Uniform Securities Agent State Law Examination
    1995-12-05
Other Names
  • Heidi B Harms

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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