Name Your Terms
This is a technique that cybercriminals may use to trick someone into clicking on a malicious link or attachment. Make sure you click the report button instead!
What is phishing?
If you receive a gift from a client or vendor that is greater than or equal to this dollar amount, you must report it to Compliance.
What is $250?
Heritage has been notice filed in this "Garden State" since 2013.
What is New Jersey?
This is is a person or entity who acts on behalf of another party, and who must put that party’s interests ahead of their own (i.e., act in that party's best interest).
What is a fiduciary?
This tool allows employees to communicate internally, is subject to monitoring by Compliance, and should only be used for administrative, non-investment-related messaging.
What is Microsoft Teams?
In 2025, Heritage notice filed in this state, which was named by French explorer Robert de LaSalle.
What is Louisiana?
This is any direct or indirect communication an investment advisor makes to more than one person, that offers investment advisory services with regard to securities.
What is an advertisement?
This Form must be filed by all Investment Advisor Representatives before they can provide investment advice to clients, and should be kept up to date with any changes to an individual's home address.
What is a U4?
Heritage is not yet notice filed in this state, which boasts the deepest lake in the US - but we are close to reaching the five client de minimus.
What is Oregon?
Crater Lake was formed due to a massive volcano eruption between 6,000 and 8,000 years ago.