Stephen R. Purdy

VIRGINIA INVESTMENT ADVISORY

Charlottesville, VA 22901

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CRD#: 2904224

Professional summary

Stephen Robert Purdy, who also goes by Stephen R Purdy, is a registered financial advisor currently at VIRGINIA INVESTMENT ADVISORY, INC. located in Charlottesville, Virginia and OSAIC WEALTH, INC. located in Charlottesville, Virginia.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Stephen 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

Stephen R Purdy

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. OLIVET PRESBYTERIAN CHURCH POSITION: Personnel committee member NATURE: Church INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 2575 Garth Rd, Charlottesville VA 22901, United States DESCRIPTION: Assist with Personnel reviews. 2. INNOVATIVE INSURANCE SOLUTIONS, LTD POSITION: President/ Secy/ Treas. NATURE: S Corporation- Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 12/03/2007 ADDRESS: 90 Whitewood Road, Suite 1, Charlottesville VA 22901, United States DESCRIPTION: Fixed Insurance and P&C insurance, not securities 3. VIRGINIA INVESTMENT ADVISORY POSITION: Solicitor NATURE: Investment Related- Outside RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 01/20/2007 ADDRESS: 10001 Patterson Avenue, Ste 110, Henrico VA 23238, United States DESCRIPTION: Refer those who wish Investment Advisory services

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Robert Purdy's 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

January 3, 2017 - Present

VIRGINIA INVESTMENT ADVISORY, INC.

Office #1: 90 Whitewood Road Suite 1, Charlottesville, VA 22901

RIA

CRD#: 117121

Charlottesville, VA

Current

October 11, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 90 Whitewood Road Suite 1, Charlottesville, VA 22901

RIA

CRD#: 23131

CHARLOTTESVILLE, VA

Past

July 2, 2004 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

CHARLOTTESVILLE, VA

Past

August 1, 2003 - July 9, 2004

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

February 4, 2002 - March 26, 2010

JAMES RIVER ASSET MANAGEMENT, LLC

RIA

CRD#: 117917

RICHMOND, VA

Past

July 18, 1997 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(10/11/2024)

Florida
(10/11/2024)

Maryland
(10/11/2024)

Massachusetts
(10/11/2024)

New Hampshire
(10/11/2024)

New Jersey
(10/11/2024)

New York
(10/11/2024)

North Carolina
(10/11/2024)

Pennsylvania
(10/11/2024)

Rhode Island
(10/11/2024)

South Carolina
(10/11/2024)

Texas
(10/11/2024)

IAR

Virginia
(1/3/2017)

Virginia
(10/11/2024)

Wisconsin
(10/11/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/30/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/14/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VIRGINIA INVESTMENT ADVISORY, INC.

CRD#: 117121 / SEC#:

Florida

Registered Investment Advisory firm - (1/26/2015 Approved)

North Carolina

Registered Investment Advisory firm - (10/4/2022 Approved)

Virginia

Registered Investment Advisory firm - (7/27/1995 Approved)

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Contact information

Main Address

10001 Patterson Avenue Suite 110, Henrico, VA 23238-5126

Mailing Address

P. O. Box 71018, Richmond, VA 23255-1018

Phone number

(804) 359-5195

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	266
AUM (Assets Under Management)	$ 73,393,842

Red Flags

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

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Advisor Monitoring

Firm Stability Insights

Stephen R. Purdy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Robert Purdy's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

WALNUT STREET SECURITIES, INC.

JAMES RIVER ASSET MANAGEMENT, LLC

NATHAN & LEWIS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/30/2001

Series 63

Date: 8/14/1997

SIE

Date: 10/1/2018

Series 7

Date: 7/16/1997

FINRA

Current Firm

VIRGINIA INVESTMENT ADVISORY, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

VIRGINIA INVESTMENT ADVISORY, INC.

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