Heather Vitek

Senior Consultant

My clients get a team of experts from Oyster to ensure they are fully prepared in today’s ever changing financial environment.

Heather Vitek is a Financial Services professional with over 25 years of industry experience. Heather has extensive expertise in investment advisor Operations and Compliance. Prior to working with Oyster, Heather served in various compliance and operations roles for B. Riley Wealth Management, including Investment Advisory Operations Manager and Compliance Officer. Heather also served as a Compliance Officer for First Tennessee Brokerage and as Paraplanner for First Tennessee Bank.

Expertise

  • Perform Oversight Reviews of Trading and Holdings in Client Advisory Accounts
  • Complete the Opening and Termination Process for New Advisory Accounts
  • Review advertising, seminars, public speaking appearances, correspondence and emails
  • Conduct Branch Audits
  • Submit Regulatory Filings
  • Assist with Regulatory audits
  • Create and Maintain Account Agreements, the Firm and Financial Adviser Brochures and numerous other account related documents
  • Approve Annuities, Brokerage Accounts and Alternative Investments
  • Create Firm’s Annual Continuing Education program and Annual Compliance Questionnaire
  • Paraplanning

Career Highlights

  • Investment Advisory Operations Manager, B Riley Wealth Management, formerly Wunderlich Securities Inc.
  • Compliance Officer, B Riley Wealth Management, formerly Wunderlich Securities Inc.
  • Compliance Officer, First Tennessee Brokerage
  • Paraplanner, First Tennessee Bank
  • Trust Specialist at ACI Desk, First Tennessee Bank
  • Financial Service Representative, National Bank Of Commerce