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D.W. Heath & Associates, Inc.

  196 inquiries |
Estate Planning

One Pointe Drive Suite 330
Brea, CA 92821
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(800) 481-8888

Company Rating

AAA

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Customer Reviews

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Complaint Experience

N/A

Complaint Resolution Index (CRI)

Membership Information

This business is not a member of Business Consumer Alliance. This fact does not disparage the company in any way.

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Complaints and Resolutions

Complaint Experience

N/A

Complaint Resolution Index (CRI)

BCA's Summary and Analysis:

Complainant generally allege that the company failed to pay on investments or failed to liquidate investments. One customer further alleges, an investment made by another family member with the company, was transferred to another investment firm without authorization. The company responded by indicating they had contacted the customer to explain, agreed to assist in liquidating the investment, and indicated the investor was satisfied. The complainant considers the response inadequate, and claims the complaint allegations were not addressed. Some complaints remain unanswered.

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Complaint Closing Statistics

0 complaints against D.W. Heath & Associates, Inc. closed in last 3 years.
Complaints Type of response
0 Making a full refund, as the consumer requested
0 Making a partial refund
0 Agreed to make an adjustment
0 Refusing to make an adjustment
0 Refuse to adjust, relying on terms of agreement
0 Unanswered

Other Information

Company Info

This company's business is primarily fixed income investments and estate planning services.

Primary Contact: Daniel Heath (CEO)
Business Started: 1/1/1983
Social:

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Licensing

We know of no licensing or registration requirement for companies engaged in this company's stated type of business.

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Government Actions

BCA has no information regarding government actions at this time.

Comments and Analysis

Careful evaluation of all investment offers should be done prior to signing agreements. Rather than make an immediate decision, insist that the caller confirm details of the offer and all verbal promises in writing. Verify that the offer is registered, or exempt from such requirement, with your state securities commissioner. In California, call the Department of Corporations 213 576-7500. Limited Patnerships are required to register unless an exemption is filed with the state. General Partnerships, however, are not required to register. Those who invest in General Partnerships may also be accountable for the financial liabilities of the entire partnership. Offers claiming to be exempt from registration must meet specific requirements. Specifically, they must be limited to no more than 35 investors who are: immediate relatives or friends; current investors in other offers made by the company; persons referred by current investors; and to those with the expertise to make a valid decision. Generally, if an offer is sold via telephone, it is an indication it would not be qualified for exemption under current law.

Other Considerations

We know of no other matter or practice relating to this company that may assist you in your consideration of this company.

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