David Heredia
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.
David Heredia was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1990. David had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2003 - February 24, 2003
THE THORNWATER COMPANY, L.P.
January 2, 1997 - December 11, 1998
KLEIN, MAUS & SHIRE INC.
September 15, 1995 - September 13, 1996
HAMPSHIRE SECURITIES CORPORATION
September 27, 1991 - March 10, 1995
BARRETT DAY SECURITIES, INC.
June 11, 1991 - October 22, 1991
COMMONWEALTH ASSOCIATES
April 24, 1990 - June 21, 1991
SOUTH RICHMOND SECURITIES, INC.
February 28, 1990 - April 30, 1990
FIRST FIDELITY CAPITAL CORP.
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
Current Firm
THE THORNWATER COMPANY, L.P.
CRD#: 36195 / SEC#: , 8-47178
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
