Douglas C. Dorsey

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CRD#: 4229569

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Douglas Clark Dorsey was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 2000. Douglas had worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 7, 2019 - April 5, 2020

HEARTWOOD WEALTH ADVISORS, LLC

RIA

CRD#: 300273

RICHMOND, VA

Past

May 11, 2007 - June 7, 2019

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

RICHMOND, VA

Past

May 11, 2007 - June 6, 2019

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

RICHMOND, VA

Past

January 22, 2001 - May 25, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

RICHMOND, VA

Past

October 25, 2000 - May 25, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

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".

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 11/13/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/24/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/29/2008

General Securities Principal Examination

Current Firm

HEARTWOOD WEALTH ADVISORS, LLC

CRD#: 300273 / SEC#: 801-114721

RIA

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

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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

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM ADVISORY BROCHURE (5/20/2025)

Regulatory assets under management

Total Number of Accounts	1,709
AUM (Assets Under Management)	$ 1,302,509,037

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/29/2025	Cover Page	Report
09/17/2024	Cover Page	Report
09/18/2023	Cover Page	Report
10/24/2022	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.

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Firm Stability Insights

Douglas C. Dorsey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

HEARTWOOD WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/13/2000

SIE

Date: 10/1/2018

Series 7

Date: 10/24/2000

Series 24

Date: 4/29/2008

Current Firm

HEARTWOOD WEALTH ADVISORS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

HEARTWOOD WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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