Shawn G. Heron

ADP BROKER-DEALER

Louisville, KY 40299

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CRD#: 2975479

Professional summary

Shawn Gerald Heron, CIMA®, who also goes by Shawn G Heron, is a registered financial professional currently at ADP BROKER-DEALER, INC. located in Louisville, Kentucky.

Shawn is registered as a RR (Registered Representative) and started their career in finance in 1998. Shawn has worked at 9 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Shawn G Heron

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 Shawn Gerald Heron'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

August 18, 2025 - Present

ADP BROKER-DEALER, INC.

Office #1: 11405 Bluegrass Parkway, Louisville, KY 40299

CRD#: 37693

Louisville, KY

Past

April 8, 2021 - August 12, 2025

USI ADVISORS

RIA

CRD#: 108113

New York, NY

Past

April 30, 2008 - September 16, 2022

USI SECURITIES, INC.

CRD#: 43793

NEW YORK, NY

Past

September 29, 2006 - April 7, 2008

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

PLAINSBORO, NJ

Past

September 29, 2006 - April 4, 2008

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

March 22, 2005 - September 29, 2006

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA

CRD#: 105068

PLAINSBORO, NJ

Past

March 22, 2005 - September 29, 2006

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

Past

January 10, 2000 - March 22, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

January 10, 2000 - March 22, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 28, 1998 - October 25, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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
(9/23/2025)

Alaska
(9/29/2025)

Arizona
(10/3/2025)

Arkansas
(9/29/2025)

California
(9/23/2025)

Colorado
(8/19/2025)

Connecticut
(8/20/2025)

Delaware
(9/23/2025)

District of Columbia
(8/20/2025)

Florida
(8/19/2025)

Georgia
(9/23/2025)

Hawaii
(9/23/2025)

Idaho
(8/21/2025)

Illinois
(8/19/2025)

Indiana
(9/24/2025)

Iowa
(9/23/2025)

Kansas
(9/23/2025)

Kentucky
(8/19/2025)

Louisiana
(8/20/2025)

Maine
(9/23/2025)

Maryland
(8/25/2025)

Massachusetts
(9/23/2025)

Michigan
(8/19/2025)

Minnesota
(8/19/2025)

Mississippi
(8/19/2025)

Missouri
(9/25/2025)

Montana
(8/19/2025)

Nebraska
(8/19/2025)

Nevada
(9/23/2025)

New Hampshire
(9/24/2025)

New Jersey
(8/18/2025)

New Mexico
(9/23/2025)

New York
(9/25/2025)

North Carolina
(9/23/2025)

North Dakota
(9/29/2025)

Ohio
(9/23/2025)

Oklahoma
(8/19/2025)

Oregon
(10/8/2025)

Pennsylvania
(9/23/2025)

Rhode Island
(9/29/2025)

South Carolina
(8/19/2025)

South Dakota
(8/19/2025)

Tennessee
(9/23/2025)

Texas
(8/19/2025)

Utah
(9/23/2025)

Vermont
(9/23/2025)

Virgin Islands
(10/3/2025)

Virginia
(9/23/2025)

Washington
(8/19/2025)

West Virginia
(9/25/2025)

Wisconsin
(9/24/2025)

Wyoming
(9/26/2025)

Exams

State Security Law Exam

Series 63

Date: 9/22/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/13/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/23/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ADP BROKER-DEALER, INC.

CRD#: 37693 / SEC#: , 8-47885

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

One Adp Boulevard, Roseland, NJ 07068-1786

Mailing Address

71 Hanover Road Ms - 580, Florham Park, NJ 07932

Phone number

(973) 712-2316

Established

New Jersey since 07/12/1994

Firm type

Corporation

Fiscal year end

June

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ADP ATLANTIC, LLC	SHAREHOLDER
BARRENECHEA, PATRICIA MARGOT	FINOP	1715189
BLAKE, JAMES PATRICK	PRESIDENT, DIRECTOR	3078844
BOYLE, JAMES RICHARD	AML OFFICER	3137180
DOSPASSOS-KRIEG, KRISTIN ANNE	DIRECTOR	3079254
HANLEY, JUANITA DAVIDA	CHIEF COMPLIANCE OFFICER, VICE PRESIDENT	5217439
HODGES, JEFFRY AARON	DIRECTOR	5865575
HUREAU, MICHAEL RAY	DIRECTOR	5990787
MCCUE, TERRANCE	RISK MANAGEMENT OFFICER	7259942

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

Shawn G. Heron

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shawn Gerald Heron's CRS (Customer Relationship Summary).

Certified licenses

Experience

USI ADVISORS

USI SECURITIES, INC.

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

MERRILL LYNCH INVESTMENT MANAGERS LP

FAM DISTRIBUTORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/22/2025

Series 65

Date: 2/13/1998

SIE

Date: 10/1/2018

Series 7

Date: 1/23/1998

FINRA

Current Firm

ADP BROKER-DEALER, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ADP BROKER-DEALER, INC.

TRUST BUT VERIFY

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