James P. Scally

HERITAGE FINANCIAL SERVICES

WOBURN, MA 01801

Some features on this profile are disabled

CRD#: 2602009

Professional summary

James Patrick Scally, CFP® is a registered financial advisor currently at HERITAGE FINANCIAL SERVICES located in Woburn, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. James has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. TRUSTEE; CORPORATE RETIREMENT PLAN; CONDUCTED FROM BRANCH LOCATION; INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Patrick Scally'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®

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Current

March 16, 2010 - Present

HERITAGE FINANCIAL SERVICES

Office #1: 600 Unicorn Park Drive, Woburn, MA 01801

RIA

CRD#: 127268

WOBURN, MA

Past

September 20, 2000 - March 18, 2010

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

NORWOOD, MA

Past

September 9, 2000 - June 30, 2009

HERITAGE FINANCIAL SERVICES

RIA

CRD#: 127268

NORWOOD, MA

Past

October 9, 1997 - March 18, 2010

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

NORWOOD, 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 FINANCIAL SERVICES

HERITAGE FINANCIAL GROUP | HERITAGE INSURANCE BROKERAGE, INC. | HERITAGE FINANCIAL SERVICES, LLC | HERITAGE FINANCIAL SERVICES, INC. | HERITAGE FINANCIAL SERVICES

CRD#: 127268 / SEC#: 801-64494

RIA

Registered Investment Advisory firm - (7/19/2005 Approved)

Massachusetts

Registered Investment Advisory firm - (10/18/2005 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
(3/16/2010)

IAR

Texas
(1/24/2023)

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 65

Date: 9/28/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/10/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/8/1997

General Securities Representative Examination

Current Firm

HERITAGE FINANCIAL SERVICES

HERITAGE FINANCIAL GROUP | HERITAGE INSURANCE BROKERAGE, INC. | HERITAGE FINANCIAL SERVICES, LLC | HERITAGE FINANCIAL SERVICES, INC. | HERITAGE FINANCIAL SERVICES

CRD#: 127268 / SEC#: 801-64494

RIA

Registered Investment Advisory firm - (7/19/2005 Approved)

Massachusetts

Registered Investment Advisory firm - (10/18/2005 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

100 Lowder Brook Drive Suite 1000, Westwood, MA 02090

Mailing Address

Phone number

(781) 255-0214

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HERITAGE FINANCIAL SERVICES, LLC ADV PART 2A (7/10/2025)

Regulatory assets under management

Total Number of Accounts	6,481
AUM (Assets Under Management)	$ 2,989,626,797

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/27/2024	Cover Page	Report
03/07/2024	Cover Page	Report
04/18/2023	Cover Page	Report

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.

Similar Advisors

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James P. Scally

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Patrick Scally's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

HERITAGE FINANCIAL SERVICES

COMMONWEALTH FINANCIAL NETWORK

Primary Firm SEC Registration

HERITAGE FINANCIAL SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 9/28/1999

Series 63

Date: 11/10/1997

Series 7

Date: 10/8/1997

Current Firm

HERITAGE FINANCIAL SERVICES

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

HERITAGE FINANCIAL SERVICES

TRUST BUT VERIFY

Similar Advisors