HEATHER M CORTEZ at UNIONBANC INVESTMENT SERVICES, LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 6171366
HEATHER M CORTEZ is an Investment Adviser, associated with UNIONBANC INVESTMENT SERVICES, LLC located at SAN FRANCISCO, CA. HEATHER CORTEZ’s Central Registration Depository (CRD) number is 6171366 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for HEATHER CORTEZ

    • Event Date: 4/17/1990
    • Disclosure Type: Criminal
    • Resolution: Final Disposition
    • Criminal Charges :: Charges: SHOPLIFTING/THEFT
    • Disposition: Pled guilty
    • Broker Comment: I AM NOW 43 YEARS OLD AND THE MOTHER OF TWO AMAZING YOUNG MEN. I AM AN EXTREMELY HONEST, RESPONSIBLE, LAW ABIDING CITIZEN, AND WORK EVERY DAY TO LIVE MY LIFE WITH THE UPMOST INTEGRITY. I AM A CHRISTIAN, AND LIVE STRONGLY BY MY CORE CHRISTIAN VALUES IN BOTH MY PERSONAL AND PROFESSIONAL LIFE. I AM ACTIVE AS A VOLUNTEER AND LEADER IN MY CHURCH, AND FOR SEVERAL YEARS HAVE GIVEN MY TIME TO THE KING COUNTY SEXUAL ASSAULT RESOURCE CENTER AND THE PIKE PLACE SENIOR CENTER. I WAS ALSO VERY ACTIVE IN MY BOYS SCHOOLS AND PARENT TEACHER ASSOCIATIONS. I AM AN HONEST, RESPONSIBLE INDIVIDUAL AND I TAKE MY ROLE AS A FINANCIAL ADVISOR VERY SERIOUSLY. I WORK TO OFFER MY CLIENTS HONEST, SUITABLE RECOMMENDATIONS TO THE BEST OF MY ABILITIES, I AM CAUTIOUS WITH MY APPROACH, AND ALWAYS SEEK THE ADVICE OF MY BUSINESS PARTNERS, IN VARIOUS AREAS OF EXPERTISE IF NECESSARY. I AM TRULY SORRY AND EMBARRASSED FOR MY PAST MISTAKES, BUT HAVE SPENT THE PAST 24 YEARS OF MY LIFE SINCE THAT TIME BUILDING A RESPECTFUL HONEST LIFE FOR MYSELF AND MY FAMILY. THE MISTAKES I HAVE MADE IN THE PAST ARE NOT A REFLECTION OF WHO I AM AS AN INDIVIDUAL TODAY. I TAKE GREAT PRIDE IN THE TIME AND HARD WORK I HAVE PUT INTO BUILDING MY CAREER. BECOMING A LICENSED BANKER IS NOT ONLY AN INTRICATE PART OF MY CURRENT JOB ROLE, AND LIVELIHOOD FOR MY FAMILY, BUT IT IS A VITAL GROWTH STEP ON MY BANKING CAREER PATH. I TRULY HOPE THAT THE FOOLISH MISTAKE FROM MY PAST, WILL NOT STAND IN THE WAY OF MY FUTURE WITH UNION BANK. THANK YOU FOR ALLOWING ME THE OPPORTUNITY TO EXPLAIN MY CIRCUMSTANCES.


Should I file a FINRA complaint against brokers like HEATHER M CORTEZ?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by HEATHER M CORTEZ’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

 
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Frequently Asked Questions About HEATHER M CORTEZ

What is HEATHER CORTEZ's Central Registration Depository (CRD) Number?

6171366

Which firm is HEATHER M CORTEZ associated with?

UNIONBANC INVESTMENT SERVICES, LLC

Where is HEATHER CORTEZ located?

350 CALIFORNIA ST., 18TH FLOOR, SAN FRANCISCO, CA, 94104

Where can I find more details about HEATHER CORTEZ's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/14455 to read a detailed report for UNIONBANC INVESTMENT SERVICES, LLC

Are there any disclosures, allegations or complaints filed against HEATHER M CORTEZ?

Yes. There are disclosures, allegations, or complaints filed against HEATHER M CORTEZ. Click here to view all details

Where can I download a detailed FINRA report for HEATHER CORTEZ?

Click here to download a detailed FINRA report for HEATHER CORTEZ

Is it safe to do business with HEATHER M CORTEZ?

We’re not sure. Please research HEATHER CORTEZ’s disclosures, allegations and complaints before taking a decision


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