HEARTWOOD INVESTMENTS, INC.
CRD #145668 SEC #801-68579 WATERLOO, IA (319) 233-1717
SEC Registered
Total AUM
$40.6M
Discretionary
$40.6M
Employees
1
Clients
--
Accounts
21
Firm Details
- Organization Type
- Corporation
- State of Formation
- Iowa
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 13, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| GIARUSSO, DEBORAH, MARIE | I | VICE PRESIDENT | NA | Control |
| GIARUSSO, DEBORAH, MARIE | I | VICE PRESIDENT | NA | Control |
| GIARUSSO, DEBORAH, MARIE | I | VICE PRESIDENT | NA | Control |
| HARRIS, DEBORAH, MARIE | I | VICE PRESIDENT | NA | Control |
| SPARKS, DAVID, GEORGE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPARKS, DAVID, GEORGE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPARKS, DAVID, GEORGE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPARKS, DAVID, GEORGE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPARKS, DAVID, GEORGE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPARKS, DAVID, GEORGE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPARKS, DAVID, GEORGE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPARKS, DAVID, GEORGE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPARKS, DAVID, GEORGE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPARKS, DAVID, GEORGE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPARKS, DAVID, GEORGE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPARKS, DAVID, GEORGE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPARKS, DAVID, GEORGE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SPARKS, DAVID, GEORGE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| GIARUSSO, DEBORAH, MARIE | I | VICE PRESIDENT | B | Control |
| GIARUSSO, DEBORAH, MARIE | I | VICE PRESIDENT | B | Control |
| GIARUSSO, DEBORAH, MARIE | I | VICE PRESIDENT | B | Control |
| GIARUSSO, DEBORAH, MARIE | I | VICE PRESIDENT | B | Control |
Registrations
Federal
IA
Apr 13, 2012 REGISTERED
Notice Filings (1)
IA
Address
216 EAST FOURTH STREETWATERLOO, IA 50703-4702
United States
Phone: (319) 233-1717