Inactive

Paul Brian Schatz

Heritage Capital, LLC

CRD 2241878

Claim This Profile

Employer firm

Heritage Capital, LLC CRD 127650

$147M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
PROFIT SHARING AND 401K PLANS

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

Current Employers

Heritage Capital, Llc

1 Bradley Road Suite 202, Woodbridge, CT 06525 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2012-11-14
CT	RA	APPROVED	2004-01-06

TX RA
APPROVED

Since 2012-11-14
CT RA
APPROVED

Since 2004-01-06

Branch Locations

1 Bradley Road Suite 202, Woodbridge, CT 06525 • 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
Heritage Capital Llc	Woodbridge	CT	06/2003	Present

06/2003 → Present

Heritage Capital Llc

Woodbridge, CT

Previous Registrations

1997-07-22 → 2005-12-31

Beneficial Capital Inc.

Woodbridge, CT

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-05-29
S63	Uniform Securities Agent State Law Examination	1993-12-08

S65 Uniform Investment Adviser Law Examination

1997-05-29
S63 Uniform Securities Agent State Law Examination

1993-12-08

View on SEC IAPD

Nearby Firms

AMERIPRISE FINANCIAL SERVICES, LLC

MERCER GLOBAL ADVISORS INC.

LPL FINANCIAL LLC

Nearby Investors

WILLIAM C PRATHER

GLENN DAVID UFLAND

BENNET THOMAS THONAKKARAPARAYIL

Nearby Offices

HERITAGE CAPITAL, LLC · WOODBRIDGE, CT

AMERIPRISE FINANCIAL SERVICES, LLC · Woodbridge, CT

MERCER GLOBAL ADVISORS INC. · Woodbridge, CT

More in Woodbridge, CT

Reviews

No reviews yet

Want to share your experience?

Sign in to leave a review

Loading reviews...

Reach out to this advisor