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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2018-09-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Charlotte | NC | 08/2011 | 09/2018 |
| Stratos Wealth Partners, Ltd | Harrisonburg | VA | 01/2018 | 09/2018 |
| Stern & Heatwole Financial Group, Pc | Harrisonburg | VA | 01/2018 | Present |
| Commonwealth Financial Network | Waltham | MA | 09/2018 | Present |
1. Fixed insurance sales, as of 09/04/2018; Approximately 0% time spent during securities trading hours per month; Conducted at branch location; Investment related. 2. Co-owner, secretary, and treasurer, Pinewood Acres, Inc.; an entity created for the purpose of owning hunting land located in VA, as of 02/27/2019; Approximately 1% time spent during securities trading hours per month; Not Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-10-04 |
| S63 | Uniform Securities Agent State Law Examination | 2011-06-02 |
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