Public records published by the Financial Industry Regulatory Authority (FINRA) on February 24, 2017 indicate that former Minnesota-based Independent Financial Group broker/adviser John Heath has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Heath (CRD# 2331052).
John Heath has spent 22 years in the securities industry and was most recently registered with Independent Financial Group in Bloomington, Minnesota (2011-2016). Previous registrations include QA3 Financial Group in Bloomington, Minnesota; Royal Alliance Associates in New York, New York; and Gardner Financial Services in Minneapolis, Minnesota. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 24 (General Securities Principal Examination). He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one regulatory sanction, one pending regulatory complaint, and one pending customer complaint.