Wesley Brent Kaufman

Current Employers

Heartwood Wealth Advisors, Llc

9020 Stony Point Parkway Suite 325, Richmond, VA 23235 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2019-12-05
VA	RA	APPROVED	2019-06-06

TX RA
APPROVED

Since 2019-12-05
VA RA
APPROVED

Since 2019-06-06

Branch Locations

9020 Stony Point Parkway Suite 325, Richmond, VA 23235 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Financial Network, Llc	Richmond	VA	02/2013	06/2019
Heartwood Wealth Advisors Llc	Richmond	VA	06/2019	Present

02/2013 → 06/2019

Wells Fargo Advisors Financial Network, Llc

Richmond, VA
06/2019 → Present

Heartwood Wealth Advisors Llc

Richmond, VA

Previous Registrations

2013-02-22 → 2019-06-06

Wells Fargo Advisors Financial Network, Llc

Richmond, VA
1995-02-16 → 2013-02-25

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Richmond, VA

Richmond, VA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-02-07
S63	Uniform Securities Agent State Law Examination	1995-01-24

S65 Uniform Investment Adviser Law Examination

1995-02-07
S63 Uniform Securities Agent State Law Examination

1995-01-24

Designations

Other Names

Wesley B Kaufman

View on SEC IAPD

Current Employers

Heartwood Wealth Advisors, Llc

Disclosures

Employment History

Previous Registrations

Exams

Designations

Other Names

Other Firms

Other Investors

Other Offices

Reviews