Robert B. Dwyer

HERITAGE WEALTH MANAGEMENT

Houston, TX 77027

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CRD#: 2960539

Professional summary

Robert Boyd Dwyer, CFP® is a registered financial advisor currently at HERITAGE WEALTH MANAGEMENT located in Houston, Texas.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Robert has worked at 7 firms and has passed the Series 65, Series 63, Series 31 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.

Groaning Bear, LLC; not investment-related; home-based; rental real estate; sole owner since 2020; 5 hrs/month; none during trading hours; operate a rental property.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Boyd Dwyer'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: 2004

Experience

Current

December 8, 2023 - Present

HERITAGE WEALTH MANAGEMENT

Office #1: 4400 Post Oak Parkway Suite 2510, Houston, TX 77027

RIA

CRD#: 122394

Houston, TX

Past

January 7, 2013 - December 12, 2023

WATERWAY WEALTH MANAGEMENT, L.L.C.

RIA

CRD#: 164975

THE WOODLANDS, TX

Past

June 30, 2005 - November 17, 2009

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

HOUSTON, TX

Past

June 30, 2005 - November 17, 2009

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

HOUSTON, TX

Past

September 26, 2003 - June 20, 2005

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

KATY, TX

Past

February 20, 2002 - June 20, 2005

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

August 30, 2001 - September 5, 2001

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

January 4, 2000 - September 14, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 21, 1997 - January 6, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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 MANAGEMENT | HERITAGE WEALTH MANAGEMENT, INC.

CRD#: 122394 / SEC#: 801-107506

RIA

Registered Investment Advisory firm - (3/25/2016 Approved)

Texas

Registered Investment Advisory firm - (4/28/2016 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

Texas
(12/8/2023)

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: 4/1/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/26/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 12/16/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/20/1997

General Securities Representative Examination

Current Firm

HERITAGE WEALTH MANAGEMENT

HERITAGE WEALTH MANAGEMENT | HERITAGE WEALTH MANAGEMENT, INC.

CRD#: 122394 / SEC#: 801-107506

RIA

Registered Investment Advisory firm - (3/25/2016 Approved)

Texas

Registered Investment Advisory firm - (4/28/2016 Terminated)

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Contact information

Main Address

4400 Post Oak Parkway Suite 2510, Houston, TX 77027

Mailing Address

Phone number

(713) 871-9800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HWM ADV 2A (3/11/2025)

HWM WRAP FEE BROCHURE (3/11/2025)

Regulatory assets under management

Total Number of Accounts	755
AUM (Assets Under Management)	$ 313,072,495

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

Robert B. Dwyer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Boyd Dwyer's CRS (Customer Relationship Summary).

Certified licenses

Experience

WATERWAY WEALTH MANAGEMENT, L.L.C.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

A. G. EDWARDS & SONS, INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

HERITAGE WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 4/1/1998

Series 63

Date: 11/26/1997

Series 31

Date: 12/16/1997

Series 7

Date: 11/20/1997

Current Firm

HERITAGE WEALTH MANAGEMENT

Contact information

SEC notice filing (3 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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