Role at Parallel Advisors
- Registration
- Investment adviser representative, through Parallel Advisors, LLC since 5 January 2023
- Officer or owner
- Heather Katzenstein is not listed among Parallel Advisors’ executive officers or direct owners.
The firm
Form ADV filed 29 June 2026
Career on record
Heather Katzenstein has been registered through Parallel Advisors since January 2023.
- Parallel Advisors, LLCCurrent– present · 4 yearsSan Francisco, CA · Adviser representative · Firm CRD 140800
- Passed Series 65 · 2023
- Passed Series 6 and Series 63 · 2009
Registrations and exams
Heather Katzenstein is registered as an investment adviser representative in California and has passed 3 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| California | Investment adviser representative | Approved | 5 January 2023 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 5 January 2023 |
| Series 63 | Uniform Securities Agent State Law Examination | 25 February 2009 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 3 February 2009 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
Adviser record
- Full name
- Heather Leah Katzenstein
- CRD
- 5514735
- Registered in
- California
- Office
- 150 Spear Street, Suite 1600, San Francisco, CA 94105
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Heather Katzenstein work?
Heather Katzenstein is an investment adviser representative registered through Parallel Advisors, LLC since January 2023, and is not listed among the firm’s executive officers or direct owners.
Is Heather Katzenstein a financial advisor?
Yes. Heather Katzenstein is registered as an investment adviser representative in California, through Parallel Advisors since January 2023, as of 14 October 2026.
How many years of experience does Heather Katzenstein have?
Heather Katzenstein has worked in the financial industry for 3 years as of 14 October 2026, counted from 4 January 2023, across 1 adviser firm.
What exams has Heather Katzenstein passed?
Heather Katzenstein has passed 3 licensing exams: the Series 6, Series 63 and Series 65. The earliest, the Series 6, was passed in February 2009.
Where is Heather Katzenstein based?
Heather Katzenstein’s registered office is in San Francisco, CA.
Leadership at Parallel Advisors
Jerry RendicChief Executive Officer
Diane GabianelliChief Financial Officer
Sangeetha SrinivasanChief Compliance Officer- Daniel HaspelElected Manager
Jacob SchuttChief Wealth Officer