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Heidi Gough

34 Years of Experience
Dallas, TX
4 DisclosuresBroker

Heidi Gough is a registered investment advisor at Raymond James & Associates, INC., based in Dallas, TX, with 34 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B

Fee Structure

Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location

5956 Sherry Lane, Suite 1900, Dallas, TX, 75225

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2008
Denied
Customer Dispute
October 2005
Denied
Customer Dispute
December 2000
Denied
Customer Dispute
October 1999
Settled
Other Business Activities

Heidi is a Director/Officer/Member of the Board or Committee for Corinthian Sailing Club since 2010. She writes checks and makes deposits on behalf of the members, dedicating minimal time to this non-investment related activity.

Employment History
Current Registrations
Raymond James & Associates, INC.
February 2013 - Present · 13 yrs 3 mos
Raymond James & Associates, INC.Broker
February 2013 - Present · 13 yrs 3 mos
Previous Registrations
Morgan Keegan & Company, INC.
December 2008 - February 2013 · 4 yrs 2 mos
Morgan Keegan & Company, INC.Broker
December 2008 - February 2013 · 4 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
June 1991 - December 2008 · 17 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1991 - December 2008 · 17 yrs 6 mos
State Registrations28 states
ALARCACOFLHIIDILKSLAMAMDMIMNMONCNENMNVNYOHOKSCTNTXVAWIWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.