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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
305 Lucy Drive, Harrisonburg, VA 22801 • United States
Staunton, VA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| F & M Financial/Stern & Heatwole Financial Group | Harrisonburg | VA | 09/1996 | 09/2018 |
| Lpl Financial, Llc | Harrisonburg | VA | 11/2010 | 09/2018 |
| Stratos Wealth Partners | Harrisonburg | VA | 02/2013 | 09/2018 |
| Commonwealth Financial Network | Waltham | MA | 09/2018 | Present |
| Stern & Heatwole Financial Group, Pc | Harrisonburg | VA | 09/2018 | Present |
1. President and Co-Owner, Stern & Heatwole Financial Group PC, a private entity established to facilitate securities, advisory, and insurance business; As of 09/04/2018; 99% of time spent during business hours; Conducted at branch location; Investment related. 2. Managing Member and Part Owner, Stern and Heatwole, LLC, a private entity created for the purpose of owning and managing a commercial office property located at 305 Lucy Drive, Harrisonburg, VA 22801; As of 09/04/2018; 1% of time spent during business hours; Conducted at branch location; Investment related. 3. Fixed insurance sales, as of 09/04/2018; less than 1% of time spent during business hours; Conducted at branch location; Investment related. 4. Corporate Strategic Planner, Cloverleaf Shopping Center, business consulting; Located in Harrisonburg, VA 22801; as of 1/01/2024; 1% of time spent during business hours; Not Conducted at branch location; Not Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-09-12 |
| S63 | Uniform Securities Agent State Law Examination | 1999-10-25 |
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