Daniel E. Heffernan

BROOKFIELD PRIVATE ADVISORS LLC

Westlake Village, CA 91361

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CRD#: 2804597

Professional summary

Daniel Edward Heffernan, who also goes by Daniel Heffernan, is a registered financial professional currently at BROOKFIELD PRIVATE ADVISORS LLC located in Westlake Village, California.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2003. Daniel has worked at 9 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Daniel Heffernan

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 Daniel Edward Heffernan'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

December 16, 2013 - Present

BROOKFIELD PRIVATE ADVISORS LLC

Office #1: 3011 Townsgate Rd Suite #330, Westlake Village, CA 91361

CRD#: 151423

Westlake Village, CA

Past

December 16, 2013 - November 20, 2017

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

October 12, 2010 - March 14, 2011

MORGAN STANLEY INVESTMENT ADVISORS INC.

RIA

CRD#: 104525

NEW YORK, NY

Past

January 6, 2010 - March 14, 2011

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

NEW YORK, NY

Past

May 4, 2009 - November 2, 2009

JEFFERIES LLC

CRD#: 2347

LOS ANGELES, CA

Past

August 29, 2007 - May 7, 2009

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

October 26, 2006 - August 23, 2007

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

February 15, 2005 - May 9, 2005

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

CHICAGO, IL

Past

February 15, 2005 - May 9, 2005

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

June 22, 2004 - January 19, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LOS ANGELES, CA

Past

February 12, 2003 - January 19, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

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

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

Alabama
(6/11/2014)

Alaska
(6/6/2014)

Arizona
(6/17/2014)

Arkansas
(5/27/2014)

California
(5/19/2014)

Colorado
(5/22/2014)

Connecticut
(7/25/2014)

Delaware
(5/22/2014)

District of Columbia
(7/1/2014)

Florida
(5/22/2014)

Georgia
(5/22/2014)

Hawaii
(5/21/2014)

Idaho
(5/21/2014)

Illinois
(5/27/2014)

Indiana
(7/15/2014)

Iowa
(6/6/2014)

Kansas
(6/10/2014)

Kentucky
(6/10/2014)

Louisiana
(8/5/2014)

Maine
(6/9/2014)

Maryland
(5/22/2014)

Massachusetts
(6/9/2014)

Michigan
(6/10/2014)

Minnesota
(6/11/2014)

Mississippi
(5/21/2014)

Missouri
(7/24/2014)

Montana
(5/22/2014)

Nebraska
(12/15/2021)

Nevada
(1/13/2022)

New Hampshire
(6/9/2014)

New Jersey
(5/22/2014)

New Mexico
(6/10/2014)

New York
(5/20/2014)

North Carolina
(6/6/2014)

North Dakota
(6/3/2014)

Ohio
(6/6/2014)

Oklahoma
(5/21/2014)

Oregon
(6/6/2014)

Pennsylvania
(6/6/2014)

Rhode Island
(5/21/2014)

South Carolina
(8/20/2014)

South Dakota
(7/25/2014)

Tennessee
(5/22/2014)

Texas
(12/15/2021)

Utah
(6/3/2014)

Vermont
(9/25/2014)

Virginia
(6/6/2014)

Washington
(5/22/2014)

West Virginia
(6/12/2014)

Wisconsin
(12/15/2021)

Wyoming
(5/22/2014)

Exams

State Security Law Exam

Series 63

Date: 5/16/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/21/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/10/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BROOKFIELD PRIVATE ADVISORS LLC

BROOKFIELD FINANCIAL | GLOBAL CLIENT GROUP | BROOKFIELD PRIVATE ADVISORS LLC | BROOKFIELD FINANCIAL US, LLC

CRD#: 151423 / SEC#: , 8-68370

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

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Contact information

Main Address

Brookfield Place 250 Vesey Street 15th Floor, New York, NY, 10281-1021

Mailing Address

Brookfield Place 250 Vesey Street 15th Floor, New York, NY, 10281-1021

Phone number

(212) 417-7000

Established

Delaware since 07/21/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BROOKFIELD US INC.	MEMBER
BECK, RAFAEL	CFO & FINANCIAL OPERATIONS PRINCIPAL	5718571
LEVI, DAVID WILLIAM	CEO AND DIRECTOR	2387908
SELIG, PHILIP SCOTT	CHIEF COMPLIANCE OFFICER	4593048
SRULOWITZ, MARK	DIRECTOR	6555246

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.

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Advisor Monitoring

Firm Stability Insights

Daniel E. Heffernan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Edward Heffernan's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUASAR DISTRIBUTORS, LLC

MORGAN STANLEY INVESTMENT ADVISORS INC.

MORGAN STANLEY DISTRIBUTION, INC.

JEFFERIES LLC

GOLDMAN SACHS & CO. LLC

DEUTSCHE BANK SECURITIES INC.

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 5/16/2014

Series 66

Date: 6/21/2004

SIE

Date: 10/1/2018

Series 7

Date: 2/10/2003

FINRA

Current Firm

BROOKFIELD PRIVATE ADVISORS LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BROOKFIELD PRIVATE ADVISORS LLC

TRUST BUT VERIFY

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