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Heath David Slain is a financial advisor professional located in Upland, IN. They specialize in financial advisory. With over 8 years of experience, they bring deep expertise to every client.
Heath David Slain - Berthel, Fisher & Company Financial Services, Inc. holds an active professional license (FINRA CRD) for your protection.
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Heath David Slain operates as a financial advisor through Berthel, Fisher & Company Financial Services, Inc., based in Upland, Indiana. With 8 years in the financial services industry, Slain holds a FINRA CRD license, which registers him with the Financial Industry Regulatory Authority. This registration enables him to provide financial advisory services under regulatory oversight. His experience spans nearly a decade of work in financial planning and advisory services.
A FINRA CRD license indicates that Heath David Slain is registered with the Financial Industry Regulatory Authority, the regulatory body overseeing brokers and financial professionals in the United States. This registration means he operates under FINRA's compliance and conduct standards, which establish rules for client interactions, disclosure requirements, and ethical practices. The CRD (Central Registration Depository) system maintains his regulatory record and disciplinary history, making this information publicly accessible. This license is foundational for anyone providing securities or investment advice to clients.