Daniel W. Heffernan

HEFFERNAN & ASSOCIATES

ST. LOUIS, MO 63126

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CRD#: 710377

Professional summary

Daniel William Heffernan, CFP® is a registered financial advisor currently at HEFFERNAN & ASSOCIATES, INC. located in St. Louis, Missouri.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Daniel has worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

JACKSON NATIONAL LIFE INSURANCE COMPANY, YES, 1 CORPORATE WAY, LANSING, MI 48951, LIFE INSURANCE-FIXED ANNUITIES, LIFE INS. AGENT, 2/19/1986, 1 HR/WK; ASSETMARK TRUST CO., YES, P.O. BOX 40008, LYNCHBURG, VA 24506, LIFE INSURANCE, LIFE INSURANCE AGENT, 8/1/1992, 1 HR/WK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel William 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®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

November 6, 1997 - Present

HEFFERNAN & ASSOCIATES, INC.

Office #1: 50 Crestwood Executive Center Suite 205, St. Louis, MO 63126

RIA

CRD#: 104934

ST. LOUIS, MO

Past

November 19, 1992 - December 31, 1996

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

October 1, 1985 - December 31, 1991

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

June 26, 1980 - October 11, 1985

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Missouri
(11/6/1997)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/10/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/21/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/3/1986

General Securities Principal Examination

Current Firm

HEFFERNAN & ASSOCIATES, INC.

HEFFERNAN & ASSOCIATES, INC. | HEFFERNAN, HEFFERNAN & ASSOCIATES, INC. | HEFFERNAN HEFFERNAN & ASSOCIATES INC

CRD#: 104934 / SEC#: 801-25088

RIA

Registered Investment Advisory firm - (5/7/2003 Terminated)

Illinois

Registered Investment Advisory firm - (10/16/2017 Terminated)

Missouri

Registered Investment Advisory firm - (5/7/2003 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

50 Crestwood Executive Center Suite 205, St Louis, MO 63126-1901

Mailing Address

Phone number

(314) 843-5750

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	21
AUM (Assets Under Management)	$ 17,119,600

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Daniel W. Heffernan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

HEFFERNAN & ASSOCIATES, INC.

NATIONAL PLANNING CORPORATION

RAYMOND JAMES FINANCIAL SERVICES, INC.

DREXEL BURNHAM LAMBERT INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 7/10/1980

Series 7

Date: 6/21/1980

Series 24

Date: 1/3/1986

Current Firm

HEFFERNAN & ASSOCIATES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HEFFERNAN & ASSOCIATES, INC.

TRUST BUT VERIFY

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