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Information

Other Names: Edward Heartfield, Edward Linn Hearfield Jr, Edward Linn Heartfield Jr ...(see more)
Firm:
Type: Dual Registration
Description

Edward Heartfield is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a $486B RIA based in New York, NY. Edward has held an industry securities registration for 20 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Edward Linn Heartfield has not answered any questions on Financial Q&A.

Top Guides

Edward Linn Heartfield has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
State or Municipal Government Entities
Corporations or Other Businesses
Other
Other Pooled Investment Vehicles
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 5 years, 3 months Jan 2009 - Present
Citigroup Global Markets Inc. 4 years, 4 months Sep 2004 - Jan 2009
Credit Suisse First Boston Corporation 1 year, 7 months Jan 2003 - Aug 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 05/03/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute

As of Date
05/03/2013
09/28/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Securities Agent State Law Examination Series 63 06/10/1993
General Securities Representative Examination Series 7 05/26/1993
National Commodity Futures Examination Series 3 09/30/1992

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions