Heather B Barone

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/1991 → 11/2017
  Epa Financial Services, Corp
  Toms River, NJ
• 01/2015 → 11/2017
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 01/2015 → 11/2017
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 11/2017 → 01/2020
  Ameriprise Financial Advisors Inc.
  Toms River, NJ
• 01/2020 → Present
  Commonwealth Financial Network
  Waltham, MA
• 01/2020 → Present
  Epa Financial Services
  Toms River, NJ

Previous Registrations

• 2017-11-14 → 2020-01-10
  Ameriprise Financial Services, Llc
  Toms River, NJ
• 2015-01-02 → 2017-12-08
  Cambridge Investment Research Advisors, Inc.
  Toms River, NJ
• 2008-04-11 → 2015-01-02
  National Planning Corporation
  Toms River, NJ

Other Businesses

1.President and Part Owner, EPA Financial Services, Inc., a private entity est. to facilitate securities, advisory, and insurance business; As of 01/08/20; 5% time spent during regular business hours; Conducted at branch; Investment related. 2.Fixed insurance sales, as an Agent, under the name 'EPA Financial Services'; As of 01/08/20; 1% time spent during regular business hours; Conducted at branch; Investment related.

Exams

• S63 Uniform Securities Agent State Law Examination
  2008-04-10
• S65 Uniform Investment Adviser Law Examination
  2008-04-07

Other Names

• Heather B. Barone
• Heather B Richards -Barone
• Heather B Richards-Barone
• Heather Beth Richards
• Heather Br Barone