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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)24 years in industry

HEATHER OGREN HALE

Advisor at THOROUGHBRED FINANCIAL SERVICES, LLC

BRENTWOOD, TN

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 1
Observed: Feb 17, 2004 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Heather Ogren Hale

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: THOROUGHBRED FINANCIAL SERVICES, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 4, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Feb 4, 2002
First registration: Feb 17, 2004
Dual registered: yes, broker-dealer
Other names: HEATHER OGREN|HEATHER HALE
IAPD individual key: 4470449

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
THOROUGHBRED FINANCIAL SERVICES, LLC	Independent wealth	Mar 11, 2019	n/a	yes	BRENTWOOD, TN\|BRENTWOOD, TN	Current employment
PEAK FINANCIAL PLANNING, LLC	n/a	Jun 15, 2017	Mar 6, 2019	no	NASHVILLE, TN	Previous registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Jul 18, 2016	Apr 7, 2017	no	Nashville, TN	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jan 16, 2015	Jul 18, 2016	no	Memphis, TN\|Franklin, TN	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Jan 6, 2012	Jan 20, 2015	no	BRENTWOOD, TN	Previous registration
INVESTMENT ADVISORS INTERNATIONAL, INC.	n/a	Jan 11, 2008	Jan 6, 2012	no	BRENTWOOD, TN\|LOUISVILLE, KY	Previous registration
WORLD EQUITY GROUP, INC.	Bd affiliated wealth	Feb 17, 2004	Jul 25, 2007	no	BRENTWOOD, TN\|BRENTWOOD, TN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PEAK FINANCIAL PLANNING, LLC	THOROUGHBRED FINANCIAL SERVICES, LLC	Mar 6, 2019	Mar 11, 2019	5	Firm change	Other
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	PEAK FINANCIAL PLANNING, LLC	Apr 7, 2017	Jun 15, 2017	69	Firm change	Other
MSI FINANCIAL SERVICES, INC.	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Jul 18, 2016	Jul 18, 2016	0	Firm change	Other
TRANSAMERICA FINANCIAL ADVISORS, LLC	MSI FINANCIAL SERVICES, INC.	Jan 20, 2015	Jan 16, 2015	-4	Firm change	Other
INVESTMENT ADVISORS INTERNATIONAL, INC.	TRANSAMERICA FINANCIAL ADVISORS, LLC	Jan 6, 2012	Jan 6, 2012	0	Bulk transfer	Other
WORLD EQUITY GROUP, INC.	INVESTMENT ADVISORS INTERNATIONAL, INC.	Jul 25, 2007	Jan 11, 2008	170	Firm change	Other

Relationships

Registered with (7)

→ THOROUGHBRED FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Mar 11, 2019 to presentfactForm ADV
→ PEAK FINANCIAL PLANNING, LLCRegistered adviserregistration: previous registration
Jun 15, 2017 to Mar 6, 2019factForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Jul 18, 2016 to Apr 7, 2017factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 16, 2015 to Jul 18, 2016factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 6, 2012 to Jan 20, 2015factForm ADV
→ INVESTMENT ADVISORS INTERNATIONAL, INC.Registered adviserregistration: previous registration
Jan 11, 2008 to Jan 6, 2012factForm ADV
→ WORLD EQUITY GROUP, INC.Registered adviserregistration: previous registration
Feb 17, 2004 to Jul 25, 2007factForm ADV

Dated events

No dated event names this entity yet.