Katherine S. Horgan

HERITAGE WEALTH MANAGEMENT

Osterville, MA

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CRD#: 1601776

Professional summary

Katherine Salome Horgan, who also goes by Katherine Mary Salome, is a registered financial advisor currently at HERITAGE WEALTH MANAGEMENT located in Osterville, Massachusetts.

Katherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Katherine has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Katherine Mary Salome

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) DBA HERITAGE FINANCIAL GROUP, INC.; ZERO GOVERNORS AVE. SUITE #35 MEDFORD, MA 02155.***HERITAGE FINANCIAL GROUP, INC.; ZERO GOVERNORS AVE. SUITE #35 MEDFORD, MA 02155; FIXED INSURANCE SALES; TITLE, AGENT; APPROX. 10HRS SPENT MONTHLY, APPROX. 1HR SPENT DURING TRADING HOURS; SINCE 11/2010. 2) Investment Advisor rep for Coastal Investment Advisors, located on 1201 N. Orange St., Ste. 729, Wilmington, DE 19801. Compensation in the form of fees.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Salome Horgan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 10, 2011 - Present

HERITAGE WEALTH MANAGEMENT

RIA

CRD#: 159158

Osterville, MA

Past

April 1, 2019 - July 18, 2019

REALTA EQUITIES, INC.

CRD#: 23769

Osterville, MA

Past

November 23, 2015 - March 29, 2017

REALTA EQUITIES, INC.

CRD#: 23769

Needham, MA

Past

November 1, 2010 - December 31, 2011

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

MEDFORD, MA

Past

October 29, 2010 - November 29, 2013

INVESTORS CAPITAL CORP.

CRD#: 30613

MEDFORD, MA

Past

March 25, 2009 - November 1, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

WEST CHATHAM, MA

Past

December 5, 2007 - November 1, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

WEST CHATHAM, MA

Past

July 2, 2004 - December 31, 2005

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

April 23, 2004 - June 15, 2004

CCBT BROKERAGE DIRECT, INC.

CRD#: 29602

HYANNIS, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HERITAGE WEALTH MANAGEMENT

HERITAGE WEALTH GROUP, INC. | HERITAGE WEALTH MANAGEMENT, INC. | HERITAGE WEALTH MANAGEMENT

CRD#: 159158 / SEC#: 801-132674

RIA

Registered Investment Advisory firm - (5/30/2025 Approved)

Florida

Registered Investment Advisory firm - (6/20/2025 Terminated)

Massachusetts

Registered Investment Advisory firm - (6/20/2025 Terminated)

Rhode Island

Registered Investment Advisory firm - (6/25/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/20/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(11/10/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/24/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/1/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/29/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/22/2004

General Securities Representative Examination

Current Firm

HERITAGE WEALTH MANAGEMENT

HERITAGE WEALTH GROUP, INC. | HERITAGE WEALTH MANAGEMENT, INC. | HERITAGE WEALTH MANAGEMENT

CRD#: 159158 / SEC#: 801-132674

RIA

Registered Investment Advisory firm - (5/30/2025 Approved)

Florida

Registered Investment Advisory firm - (6/20/2025 Terminated)

Massachusetts

Registered Investment Advisory firm - (6/20/2025 Terminated)

Rhode Island

Registered Investment Advisory firm - (6/25/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/20/2025 Terminated)

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Contact information

Main Address

0 Governors Avenue Suite 34, Medford, MA 02155

Mailing Address

Phone number

(800) 620-9330

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HWM ADV PART 2A (6/25/2025)

Regulatory assets under management

Total Number of Accounts	354
AUM (Assets Under Management)	$ 118,313,865

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Katherine S. Horgan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Salome Horgan's CRS (Customer Relationship Summary).

Certified licenses

Experience

REALTA EQUITIES, INC.

REALTA EQUITIES, INC.

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

INVESTORS CAPITAL CORP.

CCBT BROKERAGE DIRECT, INC.

Primary Firm SEC Registration

HERITAGE WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 3/24/2009

Series 63

Date: 10/1/2004

SIE

Date: 3/29/2017

Series 7

Date: 4/22/2004

Current Firm

HERITAGE WEALTH MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HERITAGE WEALTH MANAGEMENT

TRUST BUT VERIFY

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