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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2018-09-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Harrisonburg | VA | 12/2012 | 09/2018 |
| Stratos Wealth Partners, Ltd | Harrisonburg | VA | 12/2012 | 09/2018 |
| Commonwealth Financial Network | Waltham | MA | 09/2018 | Present |
| Stern & Heatwole Financial Group, Pc | Harrisonburg | VA | 09/2018 | Present |
1. Co-Owner of rental property located in Broadway, VA, as of06/13/2018; Approximately 1% time spent during securities trading hours per month; Not conducted at branch location; Investment related. 2. Fixed insurance sales; as of 06/14/2018; Approximately 1% time spent during securities trading hours per month; Conducted at branch location; Investment related. 3. Owner, Christine Manor Farms, Located at 9890 Harpine Highway, Broadway, VA 22815, as of 06/13/2018; Approximately 1% time spent during securities trading hours per month; Not Conducted at branch location; Not Investment related. 4. Vice President, Stern & Heatwole Financial Group, PC; a private entity established to facilitate securities, advisory, and insurance business; as of 1/01/2024; 100% time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 2002-04-17 |
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