Gabriela S. Heffernan
Professional summary
Gabriela Sanchez Heffernan, who also goes by Gabriela S Heffernan Ms, Gabriela Sanchez Heffernan Mrs., Gabriela Sanchez Heffernan Ms, Gabriela Sanchez Heffernan, Gabriela R Sanchez Ms, Gabriela Rocio Sanchez, Gabriela Rosio Wagenbach, Gabriela Wagenbach, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Hermosa Beach, California.
Gabriela is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Gabriela has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Gabriela Sanchez Heffernan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gabriela Sanchez Heffernan's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 5, 2019 - Present
PRINCIPAL SECURITIES, INC.
August 1, 2019 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392January 27, 2017 - June 28, 2019
CUNA BROKERAGE SERVICES, INC.
January 27, 2017 - June 28, 2019
CUNA BROKERAGE SERVICES, INC.
August 31, 2016 - January 12, 2017
OSAIC FA, INC.
August 31, 2016 - January 12, 2017
OSAIC FA, INC.
September 22, 2014 - April 26, 2016
FIDELITY BROKERAGE SERVICES LLC
February 28, 2013 - September 8, 2014
PUTNAM INVESTMENT MANAGEMENT, LLC
January 29, 2013 - September 8, 2014
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
December 6, 2004 - January 9, 2013
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
March 3, 2003 - December 3, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
March 3, 2003 - December 6, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
October 16, 2000 - January 6, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 9, 2000 - January 6, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/1/2019)
(8/5/2019)
(1/29/2022)
Exams
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
