Christine Heroux has been Chief Compliance Officer of Brian Low Financial Group since March 2024, is not listed as a control person, but directly owns under 5% of the firm.
Brian Low Financial Group, LLC is a Baton Rouge, LA firm with $239M under management, 874 clients and 4 advisers across 3 offices, as of its March 2026 filing.
- Ameriprise Financial Services, Inc.– · 3 yearsHingham, MA · Adviser representative · Firm CRD 6363
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 9 May 2014 |
| Series 66 | Uniform Combined State Law Examination | 24 January 2014 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Combined State Law Examination
- Full name
- Christine Marie Heroux
- CRD
- 6124348
- Firm
- Brian Low Financial Group · CRD 306346
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Christine Heroux work?
Christine Heroux has been Chief Compliance Officer of Brian Low Financial Group, LLC since March 2024.
Does Christine Heroux have a current investment-adviser registration?
Christine Heroux has no current investment-adviser or broker registration.
What exams has Christine Heroux passed?
Christine Heroux has passed 2 licensing exams: the Series 66 and Series 7. The earliest, the Series 66, was passed in January 2014. FINRA credited Christine Heroux with the SIE, which began in October 2018.
Where was Christine Heroux previously registered as an investment adviser?
Christine Heroux has past investment-adviser registrations through Ameriprise Financial Services, Inc., May 2014 to November 2017, across 1 firm.
Is Christine Heroux registered with FINRA?
No. Christine Heroux has no current broker registration.
How can I verify Christine Heroux’s record?
Search CRD 6124348 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Christine Heroux’s full registration record.
