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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2011-11-30 |
Branch Locations
306 East Market Street, Harrisonburg, VA 22801 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hess-Allen Llc | Harrisonburg | VA | 04/2011 | Present |
| Commonwealth Financial Network | Waltham | MA | 11/2011 | Present |
| Hess Financial | Harrisonburg | VA | 11/2011 | Present |
1. Fixed insurance sales; as of 12/01/2011, 2% of time spent during business hours, Conducted at branch; Investment related. 2. Member and Part Owner, Hess and Allen, LLC, private entity created to own/manage rental properties; as of 03/2005, 5% of time spent during business hours, Not conducted at branch; Investment related. 3. Owner, Hess Financial, LLC, private entity established to facilitate securities business; as of 12/01/2011, 100% of time spent during business hours, Conducted at branch; Investment related. 4. Expert Witness, discussing financial planning topics in unaffiliated court cases at the request of unaffiliated law practice; As of 04/01/2019; Less than 5% time during regular business hours; Not conducted at branch; Not investment related. 5. Owner, Hickory Point, LLC, an entity created for the purpose of buying and managing commercial real estate at 306 E Market St., Harrisonburg, VA 22801, as of 06/19/2024; 5% of time spent during business hours; Not Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-03-05 |
| S63 | Uniform Securities Agent State Law Examination | 1992-03-26 |
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