For information about how to evaluate our firm or any investment advisor, investment or insurance broker, or financial planner read:
Investment Advisers: What You Need to Know Before Choosing One published by the US Securities & Exchange Commission.
Cutting through the Confusion: Where to Turn for Help with Your Investments published by the Coalition on Investor Education.
What Is An Investment Adviser? published by the Investment Adviser Association.
An important message about BrokerCheck: Advisors who work for broker-dealers (for example, Merrill Lynch, Wells Fargo, Morgan Stanley, UBS) are regulated by FINRA, which records their work history, licensing information and regulatory actions, arbitrations and complaints in the BrokerCheck system.
Advisors who work for registered investment advisors such as Heron Wealth are NOT deemed to be brokers and do NOT have records in BrokerCheck. Any disciplinary actions against advisors who work for RIA's are found on Item 11 - Disclosure Information of the firm's SEC Form ADV.