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Heather Kaden

Managing Director & Chief Compliance Officer at Jennison Associates

Broker registration; no current adviser registration

Heather Kaden is Managing Director & Chief Compliance Officer of Jennison Associates LLC, a New York investment adviser managing $215B. Heather Kaden has a current broker registration and no current investment-adviser registration and has passed the Series 7, Series 24 and Series 66.

3
Licensing exams

From the IAPD record · data retrieved 17 October 2026 · page updated 20 October 2026SEC record

Career

Heather Kaden has been Managing Director & Chief Compliance Officer of Jennison Associates since August 2024. Heather Kaden is a control person of the firm and directly owns under 5% of it.

Jennison Associates LLC is a New York, NY firm with $215B under management, 6,083 clients and 66 advisers across 3 offices, as of its March 2026 filing.

No adviser firm registrations are on Heather Kaden’s record.

Credentials and registrations

Examinations

SIECredited
Name
Securities Industry Essentials Examination
Series 6626 February 2007
Name
Uniform Combined State Law Examination
Series 2420 December 2004
Name
General Securities Principal Examination
Series 724 May 2004
Name
General Securities Representative Examination

Individual record

Full name
Heather Amy Kaden
CRD
2217172

Disciplinary history is not reported here, in either direction. Check the SEC record.

Common questions

Where does Heather Kaden work?

Heather Kaden has been Managing Director & Chief Compliance Officer of Jennison Associates LLC since August 2024, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 March 2026

Does Heather Kaden have a current investment-adviser registration?

Heather Kaden has a current broker registration and no current investment-adviser registration.

Source: IAPD individual record, checked 17 October 2026

What exams has Heather Kaden passed?

Heather Kaden has passed 3 licensing exams: the Series 7, Series 24 and Series 66. The earliest, the Series 7, was passed in May 2004. FINRA credited Heather Kaden with the SIE, which began in October 2018.

Source: IAPD individual record, checked 17 October 2026

Leadership at Jennison Associates

Sources

  1. IAPD individual record, CRD 2217172. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Jennison Associates LLC, filed 30 March 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

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