Barbara Burke Heaton

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 05/1986 → 11/2024
  Pruco Securities, Llc.
  San Francisco, CA
• 08/1986 → Present
  Prudential Insurance Company Of America
  San Francisco, CA
• 11/2024 → Present
  Lpl Enterprise, Llc
  San Francisco, CA

Previous Registrations

• 2000-08-01 → 2024-11-14
  Pruco Securities, Llc.
  Novato, CA
  Novato, CA
  San Jose, CA
  San Jose, CA
  Novato, CA
  Novato, CA
  San Francisco, CA
  Novato, CA

Other Businesses

1) 10/02/2024 - FLOODWATER TAVERN, LLC - Investment in a Sports Bar. No responsibilities and no current income - Business Owner - Non Inv Related - At San Francisco, CA - Start Date 07/05/2019 - 0hrs/mth - 0hrs/mth During Trading 2) 10/01/2024 - BRIDGEWATER PARTNERS, INSURANCE AND FINANCIAL SERVICES - Financial planning, investment and insurance counseling - DBA for LPL Business (entity for LPL business) - Inv Related - At San Francisco, CA - Start Date 02/20/2015 - 160hrs/mth - 160hrs/mth During Trading 3) 03/17/2025-Barbara Burke Heaton, Sole Proprietor-Owner-Barbara Burke Heaton, Sole Proprietor-Inv Related-At San Francisco, CA -Start date 11/17/2024-5hrs/mth-2hrs/mth during trading

Exams

• S63 Uniform Securities Agent State Law Examination
  2014-05-24
• S65 Uniform Investment Adviser Law Examination
  2000-07-24

Other Names

• Barbara Lee Burke