AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SC

Stephen T. Clarke

HEARTWOOD WEALTH ADVISORS
RICHMOND, VA 23235
Some features on this profile are disabled
CRD#: 2701620
SC

Professional summary

Stephen Timothy Clarke, CIMA®, who also goes by Stephen Timothy Clark, Stephen T Clarke, is a registered financial advisor currently at HEARTWOOD WEALTH ADVISORS, LLC located in Richmond, Virginia.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Stephen has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Stephen Timothy Clark | Stephen T Clarke

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Timothy Clarke'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®
CIMA®

Certified Investment Management Analyst

Experience

Current

June 6, 2019 - Present

HEARTWOOD WEALTH ADVISORS, LLC

Office #1: 9020 Stony Point Parkway Suite 325, Richmond, VA 23235
RIA
CRD#: 300273
RICHMOND, VA
Past

February 22, 2013 - June 5, 2019

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
RICHMOND, VA
Past

February 22, 2013 - June 5, 2019

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
RICHMOND, VA
Past

September 29, 1997 - February 25, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
RICHMOND, VA
Past

March 7, 1996 - February 25, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
RICHMOND, VA

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".
HW
HEARTWOOD WEALTH ADVISORS, LLC
HEARTWOOD WEALTH ADVISORS, LLC

CRD#: 300273 / SEC#: 801-114721

RIA
Registered Investment Advisory firm - (2/21/2019 Approved)

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
Texas
(12/3/2019)
IAR
Virginia
(6/6/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/20/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/20/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/5/2004
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/6/1996
General Securities Representative Examination

Current Firm

HW
HEARTWOOD WEALTH ADVISORS, LLC
HEARTWOOD WEALTH ADVISORS, LLC

CRD#: 300273 / SEC#: 801-114721

RIA
Registered Investment Advisory firm - (2/21/2019 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
9020 Stony Point Parkway Suite 325, Richmond, VA 23235
Mailing Address
Phone number
(804) 269-8711
Established
Firm type
Fiscal year end
# of Employees
13

SEC notice filing (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIRM ADVISORY BROCHURE (2/6/2026)

Regulatory assets under management

Total Number of Accounts1,897
AUM (Assets Under Management)$ 1,548,607,424

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
05/29/2025
Cover Page
Report
09/17/2024
Cover Page
Report
09/18/2023
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.

Company Information

HEARTWOOD WEALTH ADVISORS, LLC

CRD#: 300273Richmond, VA 23235

TRUST BUT VERIFY

Monitor Stephen Clarke

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Contact information

xxxxx@xxxx.xxx

Similar Advisors

JM
Joseph McveyAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
PR
WEEHAWKEN, NJ
Karen Anne Jones
Karen JonesAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Richmond, VA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.