Unclaimed Profile

Heather Ann Pratt

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT·OLYMPIA, Washington

SIE, Series 7, Series 24, Series 6619 years registeredFINANCIAL ADVOCATES INVESTMENT MANAGEMENT

1601 COOPER POINT ROAD NW, OLYMPIA, WA 98502CRD# 5118234Firm CRD# 151298

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Heather Ann Pratt · OLYMPIA, WA

Registration

CRD #5118234 · FINANCIAL ADVOCATES INVESTMENT MANAGEMENT · 19 years registered

Brand Profile

Not yet started

Career History

OSAIC WEALTH, INC.

Jun 2024 – present

LPL FINANCIAL LLC

Sep 2023 – Jun 2024

OLYMPIA, WA

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT

Oct 2015 – Oct 2023

OLYMPIA, WA

LPL FINANCIAL LLC

Feb 2012 – Mar 2016

OLYMPIA, WA

UBS FINANCIAL SERVICES INC.

Nov 2011 – Feb 2012

TACOMA, WA

PRIMEVEST FINANCIAL SERVICES, INC.

Feb 2011 – Nov 2011

TACOMA, WA

LPL FINANCIAL LLC

Nov 2007 – Feb 2011

OLYMPIA, WA

LINSCO/PRIVATE LEDGER CORP.

Aug 2006 – May 2007

OLYMPIA, WA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 66

Registration record

First registered · August 30, 2006

Years registered · 19

Disclosure History

2020Financial·Final

2019Financial·Final

2018Financial·Final

2017Financial·Final

11 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT

CRD 151298 · SEC 801-71546

AUM

$3.9B

Regulatory assets under management

Employees

19,268 client accounts

Services offered by FINANCIAL ADVOCATES INVESTMENT MANAGEMENT

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at FINANCIAL ADVOCATES INVESTMENT MANAGEMENT →

Introduction

Speak with Heather

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Heather is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in OLYMPIA?

Browse all registered financial advisors in OLYMPIA, Washington or claim this profile if it's yours.

Browse OLYMPIA Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Heather Ann Pratt offer?

Heather Ann Pratt specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in OLYMPIA, Washington for a consultation.

What are Heather Ann Pratt's credentials?

Heather Ann Pratt is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Heather Ann Pratt located?

Heather Ann Pratt is based in OLYMPIA, Washington, working with FINANCIAL ADVOCATES INVESTMENT MANAGEMENT. Their office serves clients in the OLYMPIA metropolitan area and surrounding communities.

How does Heather Ann Pratt charge for services?

Heather Ann Pratt's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is FINANCIAL ADVOCATES INVESTMENT MANAGEMENT?

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT has approximately 99 employees and manages $3.9B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →