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HS

Heather N. Slate

PACIFIC ALLIANCE ASSOCIATES
NEW YORK, NY 10016
Some features on this profile are disabled
CRD#: 2698629
HS

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"?
No

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
BD
CRD#: 148938
NEW YORK, NY
Past

June 22, 2022 - October 9, 2024

STONEPEAK SECURITIES LLC

BD
CRD#: 316392
NEW YORK, NY
Past

June 16, 2022 - March 24, 2023

TPG CAPITAL BD, LLC

BD
CRD#: 143876
SAN FRANCISCO, CA
Past

September 22, 2021 - September 21, 2022

TITAN GLOBAL TECHNOLOGIES LLC

BD
CRD#: 312379
NEW YORK, NY
Past

May 20, 2019 - November 13, 2019

GORDIAN INVESTMENTS, LLC

BD
CRD#: 158611
SAN FRANCISCO, CA
Past

September 9, 2015 - January 4, 2018

FORWARD SECURITIES, LLC

BD
CRD#: 150133
SAN FRANCISCO, CA
Past

September 7, 2011 - August 12, 2015

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
GREENBRAE, CA
Past

April 7, 2010 - August 16, 2011

MERCURY SECURITIES, LLC

BD
CRD#: 40368
NOVATO, CA
Past

February 27, 2009 - March 31, 2010

PORTFOLIO BROKERAGE SERVICES, INC.

BD
CRD#: 18554
CHICAGO, IL
Past

May 25, 2007 - January 7, 2009

PORTFOLIO BROKERAGE SERVICES, INC.

BD
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

BD
CRD#: 46237
SAN FRANCISCO, CA
Past

August 1, 1996 - January 4, 2001

BRAD PEERY INC.

BD
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
RR
Series 63
Date: 8/5/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/4/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/31/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/18/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PA
PACIFIC ALLIANCE ASSOCIATES LLC
GREY BASSETT LLC | PACIFIC ALLIANCE ASSOCIATES LLC

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

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PAG CONSULTING LLCMEMBER
FELDMAN, RICHARD MARKFINOP2273453
MCGRATH, DAVID MICHAELEXECUTIVE DIRECTOR INVESTOR RELATIONS4932935
SLATE, HEATHER NICOLECCO2698629

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

PACIFIC ALLIANCE ASSOCIATES LLC

CRD#: 148938New York, NY 10016

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