James Daniel Heavey

Current Employers

James Heavey Wealth Advisors, Llc

Rockport, ME • United States

Current Registrations

Authority	Category	Status	Date
ME	RA	APPROVED	2017-05-03

ME RA
APPROVED

Since 2017-05-03

Branch Locations

Rockport, ME • United States

30 School St., Rockland, ME 04841 • United States

Disclosures

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

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Various Insurance Carriers For W & R Insurance	Union	ME	12/2007	Present
Foresters Equity Services, Inc	Rockport	ME	07/2011	04/2017
James Heavey Wealth Advisors, Llc	Rockport	ME	11/2016	Present
James Heavey Wealth Advisors, Llc	Rockport	ME	05/2017	Present

12/2007 → Present

Various Insurance Carriers For W & R Insurance

Union, ME
07/2011 → 04/2017

Foresters Equity Services, Inc

Rockport, ME
11/2016 → Present

James Heavey Wealth Advisors, Llc

Rockport, ME
05/2017 → Present

James Heavey Wealth Advisors, Llc

Rockport, ME

Previous Registrations

2013-05-13 → 2017-05-08

Foresters Equity Services, Inc.

Union, ME

San Diego, CA

Peabody, MA

Rockport, ME
2010-04-23 → 2011-05-18

Signator Investors, Inc.

Westborough, MA

Camden, ME
2007-09-12 → 2008-06-03

Waddell & Reed

Union, ME

Portsmouth, NH

Other Businesses

(1) INSURANCE SALES NON-INVST RELATED 1279 BUTLER ROAD UNION, ME 04862 ACCESS NEED FOR INSURANCE AND PROVIDE POLICIES AS INDICATED 8 HRS/WK STARTED 08/2011.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2007-12-21
S65	Uniform Investment Adviser Law Examination	2007-08-23

S63 Uniform Securities Agent State Law Examination

2007-12-21
S65 Uniform Investment Adviser Law Examination

2007-08-23

View on SEC IAPD