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9020 Stony Point Parkway Suite 325, Richmond, VA 23235 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-12-05 |
| VA | RA | APPROVED | 2019-06-07 |
Branch Locations
9020 Stony Point Parkway Suite 325, Richmond, VA 23235 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network, Llc | Richmond | VA | 09/2016 | 06/2019 |
| Heartwood Wealth Advisors Llc | Richmond | VA | 09/2016 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 03/2021 | Present |
(1) HEARTWOOD WEALTH ADVISORS, LLC; INVESTMENT RELATED; At Registered Location; RIA; DIRECTOR, OWNER; 09/06/2016; 120 HRS PER MONTH; 5 HRS DURING TRADING; FINANCIAL ADVISOING & NORMAL RIA DUTIES. (2) PKS Financial; Investment Related; 80 State Street, Albany, NY 12207; Fixed/Traditional Insurance; Title- Agent; Start Date- 03/2021; 4 Hrs/Mth; 4 Hrs During Securities Trading Hours; Sales of Fixed/Traditional Insurance Products. (3) Fixed Insurance; Investment Related; At Registered Location; Fixed/Traditional Insurance; Position- Agent; Start- 9/6/2016; 5 Hrs/Mth; .5 During Securities Trading Hours; Sales of Fixed/Traditional Insurance Products.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-10-27 |
| S63 | Uniform Securities Agent State Law Examination | 2015-08-19 |
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