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HM

Heidi S. Morshead

SHIRA RIDGE WEALTH MANAGEMENT
SAN RAFAEL, CA 94901
Some features on this profile are disabled
CRD#: 1694450
HM

Professional summary

Heidi S Morshead, who also goes by Heidi S Lorraine, Heidi Lorraine Morshead, is a registered financial advisor currently at SHIRA RIDGE WEALTH MANAGEMENT located in San Rafael, California.

Heidi is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Heidi has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Heidi S Lorraine | Heidi Lorraine Morshead

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Heidi S Morshead's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 13, 2015 - Present

SHIRA RIDGE WEALTH MANAGEMENT

Office #1: 999 Fifth Avenue Suite 590, San Rafael, CA 94901
RIA
CRD#: 117627
SAN RAFAEL, CA
Past

February 26, 2014 - May 21, 2015

LPL FINANCIAL LLC

RIA
CRD#: 6413
LARKSPUR, CA
Past

November 19, 2013 - May 21, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
LARKSPUR, CA
Past

July 17, 2012 - August 24, 2012

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
LARKSPUR, CA
Past

October 21, 2003 - July 12, 2010

PORTSMOUTH FINANCIAL SERVICES

RIA
CRD#: 13980
SAN RAFAEL, CA
Past

July 29, 1998 - July 12, 2010

PORTSMOUTH FINANCIAL SERVICES

BD
CRD#: 13980
SAN FRANCISCO, CA
Past

March 11, 1998 - August 7, 1998

HUTCHINSON SECURITIES

BD
CRD#: 10160
SAN FRANCISCO, CA
Past

November 29, 1995 - May 2, 1997

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

November 16, 1988 - November 13, 1995

PHOENIX SECURITIES, INC.

BD
CRD#: 10507
SAN RAFAEL, CA
Past

January 20, 1988 - July 16, 1988

MUNICICORP OF CALIFORNIA

BD
CRD#: 7184

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SR
SHIRA RIDGE WEALTH MANAGEMENT
PRIVATE WEALTH MANAGEMENT ADVISORY GROUP, INC. | THE SHIRA GROUP, INC. | SHIRA RIDGE WEALTH MANAGEMENT | PWMA GROUP

CRD#: 117627 / SEC#: 801-112766

RIA
Registered Investment Advisory firm - (4/4/2018 Approved)
California
Registered Investment Advisory firm - (7/30/2020 Terminated)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(5/13/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 5/10/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/21/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/1988
General Securities Representative Examination

Current Firm

SR
SHIRA RIDGE WEALTH MANAGEMENT
PRIVATE WEALTH MANAGEMENT ADVISORY GROUP, INC. | THE SHIRA GROUP, INC. | SHIRA RIDGE WEALTH MANAGEMENT | PWMA GROUP

CRD#: 117627 / SEC#: 801-112766

RIA
Registered Investment Advisory firm - (4/4/2018 Approved)
California
Registered Investment Advisory firm - (7/30/2020 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
999 Fifth Avenue Suite 590, San Rafael, CA 94901
Mailing Address
Phone number
(415) 721-0275
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SHIRA RIDGE ADV 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts829
AUM (Assets Under Management)$ 323,442,194

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.

Company Information

SHIRA RIDGE WEALTH MANAGEMENT

CRD#: 117627San Rafael, CA 94901

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