Brian L. Boll

HERITAGE FAMILY OFFICES, LLP

SCOTTSDALE, AZ 85260

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CRD#: 2897355

Professional summary

Brian Louis Boll is a registered financial advisor currently at HERITAGE FAMILY OFFICES, LLP located in Scottsdale, Arizona.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Brian has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 9, Series 10 and Series 26 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Louis Boll'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

June 12, 2024 - Present

HERITAGE FAMILY OFFICES, LLP

Office #1: 9841 E Bell Rd Suite 110, Scottsdale, AZ 85260

RIA

CRD#: 323930

SCOTTSDALE, AZ

Past

July 7, 2017 - March 5, 2024

HERITAGE WEALTH MANAGEMENT, LLC

RIA

CRD#: 287909

PHOENIX, AZ

Past

June 29, 2016 - August 18, 2017

HERITAGE WEALTH MANAGEMENT, LLC

RIA

CRD#: 158107

PHOENIX, AZ

Past

June 15, 2009 - January 13, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MESA, AZ

Past

May 21, 2009 - January 13, 2016

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MESA, AZ

Past

July 6, 2005 - May 27, 2009

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

MESA, AZ

Past

July 6, 2005 - May 27, 2009

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

MESA, AZ

Past

January 21, 2005 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

PHOENIX, AZ

Past

January 19, 2005 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

January 5, 2001 - December 17, 2001

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

June 26, 1997 - November 17, 2000

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

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 FAMILY OFFICES, LLP

CRD#: 323930 / SEC#: 801-126899

RIA

Registered Investment Advisory firm - (11/18/2022 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

Arizona
(6/12/2024)

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: 12/30/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/10/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/13/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/9/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/17/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 10/17/2011

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 10/20/2009

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 26

Date: 5/24/1999

Investment Company Products/Variable Contracts Principal Examination

Current Firm

HERITAGE FAMILY OFFICES, LLP

CRD#: 323930 / SEC#: 801-126899

RIA

Registered Investment Advisory firm - (11/18/2022 Approved)

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Contact information

Main Address

9841 E Bell Rd Suite 110, Scottsdale, AZ 85260

Mailing Address

Phone number

(602) 775-5400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ANNUAL AMENDMENT BROCHURE (6/10/2025)

Regulatory assets under management

Total Number of Accounts	831
AUM (Assets Under Management)	$ 408,105,385

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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Firm Stability Insights

Brian L. Boll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Louis Boll's CRS (Customer Relationship Summary).

Certified licenses

Experience

HERITAGE WEALTH MANAGEMENT, LLC

HERITAGE WEALTH MANAGEMENT, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

CHARLES SCHWAB & CO., INC.

WMA SECURITIES, INC.

Primary Firm SEC Registration

HERITAGE FAMILY OFFICES, LLP

State Registrations and Notice Filings

Exams

Series 66

Date: 12/30/2004

Series 63

Date: 7/10/1997

SIE

Date: 1/13/2016

Series 7

Date: 12/9/2004

Series 6

Date: 6/17/1997

Series 9

Date: 10/17/2011

Series 10

Date: 10/20/2009

Series 26

Date: 5/24/1999

Current Firm

HERITAGE FAMILY OFFICES, LLP

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HERITAGE FAMILY OFFICES, LLP

TRUST BUT VERIFY

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