Heather Ann Pratt

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 02/2012 → 06/2024
  Lpl Financial Llc
  Olympia, WA
• 01/2016 → 06/2024
  Financial Advocates Investment Management
  Olympia, WA
• 06/2024 → Present
  Pacific Capital Resource Group Inc.
  Bellevue, WA
• 06/2024 → Present
  Osaic Wealth, Inc.
  Bellevue, WA

Previous Registrations

• 2012-02-06 → 2024-06-25
  Lpl Financial Llc
  Olympia, WA
  Olympia, WA
  Olympia, WA
  Olympia, WA
• 2015-10-22 → 2023-10-06
  Financial Advocates Investment Management
  Olympia, WA
• 2011-11-18 → 2012-02-13
  Ubs Financial Services Inc.
  Tacoma, WA
• 2011-02-02 → 2011-11-18
  Cetera Investment Services Llc
  Tacoma, WA
• 2007-11-16 → 2011-02-04
  Lpl Financial Llc
  Lacey, WA
  Olympia, WA
• 2006-08-30 → 2007-05-04
  Lpl Financial Llc
  Olympia, WA

Other Businesses

1. 06/17/2024 - Advisory Resource Group - INV REL - AT REPORTED LOCATION - DBA for Pacific Capital Resource Group Inc. Business (entity for Osaic business) - 100% TIME SPENT 2. PACIFIC CAPITAL RESOURCE GROUP INC POSITION: Associate VP of Compliance & Supervision and Supervision NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 25 START DATE: 07/08/2024 ADDRESS: 16427 N Scottsdale Rd., Ste. 410, #413, Scottsdale AZ 85254, United States DESCRIPTION: Delegated Supervisory of Sales and Service of Variable Life, Variable Annuity, Brokerage, Investment Advisory, and other delegated responsibilities. 3. ADVISORY RESOURCE GROUP, LLC POSITION: AVP Compliance and Supervision NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 25 START DATE: 07/08/2024 ADDRESS: 16427 N Scottsdale Rd., Ste. 410, #413, Scottsdale AZ 85254, United States DESCRIPTION: Delegated Supervisor of non-registered associates, registered assistants, and financial professionals affiliated with Osaic Wealth Inc. that report to Kurt Jonson OSJ.

Exams

• S66 Uniform Combined State Law Examination
  2006-08-29

Other Names

• Heather Ann Francis
• Heather Ann Dopp