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HA

Heather A. Ahrens

THIRD SEVEN CAPITAL LLC
Wall, NJ 07719
Some features on this profile are disabled
CRD#: 2376084
HA

Professional summary

Heather Adrienne Ahrens, who also goes by Heather Ahrens, Heather A Donahue, Heather Adrienne Donahue, is a registered financial professional currently at THIRD SEVEN CAPITAL LLC located in Wall, New Jersey.

Heather is registered as a RR (Registered Representative) and started their career in finance in 1995. Heather has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Heather Ahrens | Heather A Donahue | Heather Adrienne Donahue

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) - BD

Click below to view Heather Adrienne Ahrens'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

January 19, 2017 - Present

THIRD SEVEN CAPITAL LLC

Office #1: 3349a State Route 138 Allaire Corporate Center Building A, Suite A, Seco, Wall, NJ 07719
BD
CRD#: 160209
Wall, NJ
Past

June 10, 2013 - December 31, 2016

EDI FINANCIAL, INC.

BD
CRD#: 15699
IRVING, TX
Past

February 22, 2011 - May 29, 2013

ALLIED BEACON PARTNERS, INC.

BD
CRD#: 46227
LAKE COMO, NJ
Past

April 9, 2010 - February 22, 2011

AMERICAN BEACON PARTNERS, INC.

BD
CRD#: 15791
AVON BY THE SEA, NJ
Past

April 2, 2007 - October 10, 2008

ADVANCED EQUITIES, INC.

BD
CRD#: 35545
NEW YORK, NY
Past

February 9, 1999 - March 30, 2007

AUGMENT SECURITIES INC.

BD
CRD#: 28373
NEW YORK, NY
Past

May 8, 1995 - February 23, 1999

COMMONWEALTH ASSOCIATES

BD
CRD#: 20833
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(6/7/2022)
RR
California
(6/21/2018)
RR
Colorado
(3/10/2021)
RR
Connecticut
(1/14/2019)
RR
District of Columbia
(2/9/2024)
RR
Florida
(1/19/2017)
RR
Georgia
(9/27/2022)
RR
Hawaii
(5/23/2021)
RR
Illinois
(9/22/2021)
RR
Iowa
(3/10/2021)
RR
Louisiana
(4/25/2018)
RR
Maine
(11/4/2020)
RR
Maryland
(1/7/2021)
RR
Massachusetts
(1/19/2017)
RR
Michigan
(11/4/2020)
RR
Missouri
(12/2/2021)
RR
Nebraska
(7/18/2023)
RR
Nevada
(6/26/2025)
RR
New Hampshire
(3/1/2019)
RR
New Jersey
(1/19/2017)
RR
New York
(1/19/2017)
RR
North Carolina
(7/26/2018)
RR
Ohio
(2/18/2022)
RR
Oregon
(4/16/2025)
RR
Pennsylvania
(10/16/2019)
RR
Rhode Island
(11/3/2020)
RR
South Carolina
(12/9/2020)
RR
South Dakota
(7/27/2023)
RR
Tennessee
(9/24/2025)
RR
Texas
(1/19/2017)
RR
Utah
(11/7/2024)
RR
Vermont
(12/8/2022)
RR
Virginia
(6/24/2024)
RR
Washington
(7/5/2023)
RR
Wisconsin
(8/24/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 1/4/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/5/1995
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TS
THIRD SEVEN CAPITAL LLC
THIRD SEVEN CAPITAL ADVISORS | THIRD SEVEN CAPITAL, LLC | THIRD SEVEN CAPITAL LLC

CRD#: 160209 / SEC#: , 8-69032

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
67 Holly Hill Lane Suite 8500, New York, NY 10022
Mailing Address
67 Holly Hill Lane Suite 300c, Greenwich, CT 06830
Phone number
(917) 602-6153
Established
Delaware since 07/06/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
THIRD SEVEN GROUP LLCHOLDING COMPANY
DIFIORE, MONICA LISACCO2966552
LEDGER, NICHOLAS MARKCEO/CFO6779287
SAKOL, DANIEL SCOTTFIN OP2813237

Disclosures

Regulatory Event1

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

THIRD SEVEN CAPITAL LLC

CRD#: 160209Wall, NJ 07719

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