Heather N. Slate

PACIFIC ALLIANCE ASSOCIATES LLC

NEW YORK, NY 10016

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CRD#: 2698629

Professional summary

Heather Nicole Slate, who also goes by Heather Nicole Conlan, is a registered financial professional currently at PACIFIC ALLIANCE ASSOCIATES LLC located in New York, New York.

Heather is registered as a RR (Registered Representative) and started their career in finance in 1996. Heather has worked at 11 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Heather Nicole Conlan

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 Nicole Slate's 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

August 1, 2023 - Present

PACIFIC ALLIANCE ASSOCIATES LLC

Office #1: 261 Madison Avenue 9th Floor, New York, NY 10016

CRD#: 148938

NEW YORK, NY

Past

June 22, 2022 - October 9, 2024

STONEPEAK SECURITIES LLC

CRD#: 316392

NEW YORK, NY

Past

June 16, 2022 - March 24, 2023

TPG CAPITAL BD, LLC

CRD#: 143876

SAN FRANCISCO, CA

Past

September 22, 2021 - September 21, 2022

TITAN GLOBAL TECHNOLOGIES LLC

CRD#: 312379

NEW YORK, NY

Past

May 20, 2019 - November 13, 2019

GORDIAN INVESTMENTS, LLC

CRD#: 158611

SAN FRANCISCO, CA

Past

September 9, 2015 - January 4, 2018

FORWARD SECURITIES, LLC

CRD#: 150133

SAN FRANCISCO, CA

Past

September 7, 2011 - August 12, 2015

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

GREENBRAE, CA

Past

April 7, 2010 - August 16, 2011

MERCURY SECURITIES, LLC

CRD#: 40368

NOVATO, CA

Past

February 27, 2009 - March 31, 2010

PORTFOLIO BROKERAGE SERVICES, INC.

CRD#: 18554

CHICAGO, IL

Past

May 25, 2007 - January 7, 2009

PORTFOLIO BROKERAGE SERVICES, INC.

CRD#: 18554

CHICAGO, IL

Past

October 20, 2005 - April 9, 2007

THOMAS WEISEL PARTNERS LLC

RIA

CRD#: 46237

SAN FRANCISCO, CA

Past

April 11, 2001 - April 9, 2007

THOMAS WEISEL PARTNERS LLC

CRD#: 46237

SAN FRANCISCO, CA

Past

August 1, 1996 - January 4, 2001

BRAD PEERY INC.

CRD#: 15035

MILL VALLEY, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 8/5/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 1/4/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/31/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/18/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PACIFIC ALLIANCE ASSOCIATES LLC

GREY BASSETT LLC | PACIFIC ALLIANCE ASSOCIATES LLC

CRD#: 148938 / SEC#: , 8-68088

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

261 Madison Avenue 9th Floor, New York, NY 10016

Mailing Address

261 Madison Avenue 9th Floor, New York, NY 10016

Phone number

(201) 683-1099

Established

Delaware since 12/18/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PAG CONSULTING LLC	MEMBER
FELDMAN, RICHARD MARK	FINOP	2273453
MCGRATH, DAVID MICHAEL	EXECUTIVE DIRECTOR INVESTOR RELATIONS	4932935
SLATE, HEATHER NICOLE	CCO	2698629

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Heather N. Slate

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Heather Nicole Slate's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEPEAK SECURITIES LLC

TPG CAPITAL BD, LLC

TITAN GLOBAL TECHNOLOGIES LLC

GORDIAN INVESTMENTS, LLC

FORWARD SECURITIES, LLC

FORESIDE FUNDS DISTRIBUTORS LLC

MERCURY SECURITIES, LLC

PORTFOLIO BROKERAGE SERVICES, INC.

PORTFOLIO BROKERAGE SERVICES, INC.

THOMAS WEISEL PARTNERS LLC

THOMAS WEISEL PARTNERS LLC

BRAD PEERY INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/5/1996

Series 99TO

Date: 1/2/2023

SIE

Date: 1/4/2018

Series 7

Date: 7/31/1996

Series 24

Date: 9/18/2000

FINRA

Current Firm

PACIFIC ALLIANCE ASSOCIATES LLC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PACIFIC ALLIANCE ASSOCIATES LLC

TRUST BUT VERIFY

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