Brian James Heffern

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-08-23
MD	RA	APPROVED	2017-10-30

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Hunt Valley	MD	07/2017	Present
Finra	Rockville	MD	06/2004	05/2017
Unemployed	Gaithersburg	MD	06/2017	06/2017
Bank Of America, N.A.	Hunt Valley	MD	07/2019	Present

07/2017 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hunt Valley, MD
06/2004 → 05/2017

Finra

Rockville, MD
06/2017 → 06/2017

Unemployed

Gaithersburg, MD
07/2019 → Present

Bank Of America, N.A.

Hunt Valley, MD

2003-04-22 → 2004-07-02

Prudential Retirement Brokerage Services, Inc.

Hartford, CT

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-10-20
S63	Uniform Securities Agent State Law Examination	2003-05-02

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