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HS

Heather E. Sheridan

J. ALDEN ASSOCIATES
Novi, MI 48375
Some features on this profile are disabled
CRD#: 2761311
HS

Professional summary

Heather Elizabeth Sheridan, who also goes by Heather E Gerarge, Heather Elizabeth Gerarge, is a registered financial professional currently at J. ALDEN ASSOCIATES, INC. located in Novi, Michigan.

Heather is registered as a RR (Registered Representative) and started their career in finance in 2008. Heather has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Heather E Gerarge | Heather Elizabeth Gerarge

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 Elizabeth Sheridan'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 6, 2021 - Present

J. ALDEN ASSOCIATES, INC.

Office #1: 39500 High Pointe Blvd, Suite 190, Novi, MI 48375
BD
CRD#: 40002
Novi, MI
Past

August 15, 2008 - May 4, 2021

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
NOVI, MI

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
Michigan
(5/6/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 7/2/2009
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: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/14/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 5/21/2012
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/22/2011
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

JA
J. ALDEN ASSOCIATES, INC.
ADI-DASSLER INTERNATIONAL OFFICE | THE GALBREATH GROUP | STRATEGIC WEALTH MANAGEMENT | SHARP FINANCIAL | PURSUE WEALTH PARTMERS, LLC | PINE VALLEY INVESTMENTS | NEWCLEUS | NEMES RUSH | MONUMENTAL INVESTMENTS | MADISON SIXTY, LLC | KINGS MANAGMENT | J. ALDEN ASSOCIATES, INC. | ATHENA | AMBASSADOR FINANCIAL GROUP, LLC | ALDEN INVESTMENT GROUP

CRD#: 40002 / SEC#: , 8-48938

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

Main Address
37 West Ave Suite 301, Wayne, PA 19087
Mailing Address
37 West Ave Suite 300, Wayne, PA 19087
Phone number
(215) 572-8700
Established
Delaware since 10/30/1995
Firm type
Corporation
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)

Direct owners and executive officers

NamePositionCRD#
CALFO, LEE ALBERTCEO, PRINCIPAL, RESEARCH PRINCIPAL4782334
CASTLE CREEK LAUNCHPAD FUND I, LPSHAREHOLDER
SMITH, KENNETH RICHARDPRINCIPAL, CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL, AMLCO2300203
ENGELBACH, PETER ALDENPRESIDENT, PRINCIPAL, OPTIONS PRINCIPAL201177
KINZER, CAROL ANNFINOP4519471

Disclosures

Regulatory Event3
Civil 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

J. ALDEN ASSOCIATES, INC.

CRD#: 40002Novi, MI 48375

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