Heather Hutchinson has been Principal and Chief Compliance Officer of Hutchinson & Ziegler Financial Advisors since January 2003, is a control person of the firm and directly owns between 50% and 75% of it.
Hutchinson & Ziegler Financial Advisors, Inc. is a San Rafael, CA firm with $235M under management, 62 clients and 2 advisers in one office, as of its August 2026 filing.
Heather Hutchinson’s longest registration is the current one, 14 years at Hutchinson & Ziegler Financial Advisors since 2012. Before joining Hutchinson & Ziegler Financial Advisors in 2012, Heather Hutchinson was registered through Hutchinson Financial Management and Waddell & Reed, Inc.
- – present · 14 yearsNovato, CA · Adviser representative · Firm CRD 145096
- – · 3 yearsSan Rafael, CA · Adviser representative · Firm CRD 145096
- Hutchinson Financial Management– · 4 yearsSan Francisco, CA · Adviser representative · Firm CRD 134396
- Waddell & Reed, Inc.– · under a yearNapa, CA · Adviser representative · Firm CRD 866
Investment adviser representative registrations
Heather Hutchinson is registered as an investment adviser representative in California, since June 2012.
- CaliforniaSince 5 June 2012
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 1 November 2002 |
| Series 7 | General Securities Representative Examination | 28 October 2002 |
| Series 63 | Uniform Securities Agent State Law Examination | 4 November 1996 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Heather Irene Hutchinson
- CRD
- 2695325
- Firm
- Hutchinson & Ziegler Financial Advisors · CRD 145096
- Role
- Principal and Chief Compliance Officer
- Office
- 100 Professional Center Drive, Suite 114, Novato, CA 94947
- Registration
- Investment adviser registration
- In the industry since
- April 2004
- Disciplinary history
- Not yet shown here · SEC record
Where does Heather Hutchinson work?
Heather Hutchinson has been Principal and Chief Compliance Officer of Hutchinson & Ziegler Financial Advisors, Inc. since January 2003, and is a control person of the firm.
Is Heather Hutchinson a financial advisor?
Yes. Heather Hutchinson has a current investment-adviser registration in California, through Hutchinson & Ziegler Financial Advisors since June 2012.
How many years of experience does Heather Hutchinson have?
Heather Hutchinson has 22 years in the financial industry, since April 2004, across 3 adviser firms.
What exams has Heather Hutchinson passed?
Heather Hutchinson has passed 3 licensing exams: the Series 63, Series 7 and Series 66. The earliest, the Series 63, was passed in November 1996.
Where did Heather Hutchinson work before Hutchinson & Ziegler Financial Advisors?
Before Hutchinson & Ziegler Financial Advisors, Heather Hutchinson was registered through Hutchinson Financial Management, April 2003 to October 2007; Waddell & Reed, Inc., November 2002 to April 2003.
Where is Heather Hutchinson based?
Heather Hutchinson’s registered office is in Novato, CA.
Is Heather Hutchinson registered with FINRA?
No. Heather Hutchinson has no current broker registration.
How can I verify Heather Hutchinson’s record?
Search CRD 2695325 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Heather Hutchinson’s full registration record.