Sheila Moriarty-gaynor
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sheila Moriarty-gaynor, who also goes by Sheila Moriarty Gaynor, Sheila Moriarty Grubert, Sheila Grubert, Sheila Grubertmoriarty, Sheila Horstman, Sheila Moriarty, was a registered financial professional .
Sheila is a previously registered financial professional and started their career in finance in 1983. Sheila had worked at 22 firms and has passed the Series 66, Series 63, Series 65, Series 7, Series 15, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2012 - November 29, 2012
HENNION & WALSH ASSET MANAGEMENT, INC.
June 26, 2012 - November 19, 2012
HENNION & WALSH, INC.
January 3, 2012 - June 7, 2012
EDWARD JONES
October 21, 2011 - June 7, 2012
EDWARD JONES
August 4, 2008 - January 2, 2009
APW CAPITAL, INC.
April 1, 2008 - December 31, 2009
BLAIR CAPITAL MANAGEMENT, LLC
March 6, 2007 - October 29, 2007
SII INVESTMENTS, INC.
September 24, 2004 - August 4, 2005
WELLS FARGO CLEARING SERVICES, LLC
September 24, 2004 - August 4, 2005
WELLS FARGO CLEARING SERVICES, LLC
August 26, 2004 - September 23, 2004
ACCESS WEALTH
June 3, 2004 - September 1, 2004
OSAIC WEALTH, INC.
July 2, 2003 - October 27, 2003
SUNAMERICA SECURITIES, INC.
June 12, 2003 - October 27, 2003
SUNAMERICA SECURITIES, INC.
January 28, 2003 - June 17, 2003
CETERA WEALTH SERVICES, LLC
October 14, 2002 - December 18, 2002
NEUBERGER BERMAN BD LLC
March 14, 2002 - October 15, 2002
BNY MELLON CAPITAL MARKETS, LLC
April 9, 1997 - February 26, 1999
1717 CAPITAL MANAGEMENT COMPANY
January 3, 1994 - April 24, 1995
EQUITABLE ADVISORS, LLC
June 21, 1993 - November 17, 1993
ABN AMRO SECURITIES LLC
June 17, 1992 - June 4, 1993
EQUITABLE DISTRIBUTORS, LLC
August 22, 1991 - April 29, 1992
HIGHLANDER CAPITAL GROUP, INC.
April 26, 1989 - October 11, 1989
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
January 22, 1988 - May 12, 1988
PRUCO SECURITIES, LLC.
May 7, 1985 - May 8, 1987
UBS FINANCIAL SERVICES INC.
September 12, 1983 - August 20, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
HENNION & WALSH ASSET MANAGEMENT, INC.
CRD#: 126236 / SEC#: 801-61977
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 5/4/1984
Foreign Currency Options ExaminationCurrent Firm
HENNION & WALSH ASSET MANAGEMENT, INC.
CRD#: 126236 / SEC#: 801-61977
Contact information
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,423 |
| AUM (Assets Under Management) | $ 590,106,063 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2024 | ||
| 10/27/2023 | ||
| 09/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
