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4340 Redwood Highway Suite B-60, San Rafael, CA 94903 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2015-01-19 |
Branch Locations
1350 Carlback Ave, Walnut Creek, CA 94596 • United States
4340 Redwood Highway Suite B-60, San Rafael, CA 94903 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Walnut Creek | CA | 12/2014 | Present |
| Global Retirement Partners | Walnut Creek | CA | 01/2015 | Present |
1. 12/18/2014: Heffernan Retirement Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 5%. 2. 12/18/2014: Heffernan Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 5%. 3. 1/21/2015: Global Retirement Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 12/11/2014 - Started 1% - IAR. 4. 10/25/2015: Heffernan Insurance Brokers - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 06/01/2014 - 160 Hours Per Month During Securities Trading. 5. 12/11/2018 - Heffernan Financial Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 06/01/2015 - 10 Hours Per Month/10 Hours During Securities Trading. 6. 12/11/2018 - Heffernan Retirement Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 06/01/2015 - 10 Hours Per Month/10 Hours During Securities Trading. 7. 10/19/2023 - Heffernan Network Insurance Brokers - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 12/02/2019 - 5 Hours Per Month/ 3 Hours During Trading 8. 02/24/2025 - Heffernan Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:12/23/2024 - 160 Hours Per Month/ 100 Hours During Trading 9. 12/30/2025 - Other - Retail sales - auto part - Owner - Not Investment Related - San Jose, CA - Start Date 11/12/2025 - 2 hours per month
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-06-13 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-02 |
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