Tricia H. Mustico

HEARTWOOD WEALTH ADVISORS

RICHMOND, VA 23235

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CRD#: 4922815

Professional summary

Tricia Hunter Mustico, who also goes by Tricia Gelene Hunter, is a registered financial advisor currently at HEARTWOOD WEALTH ADVISORS, LLC located in Richmond, Virginia.

Tricia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Tricia has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tricia Gelene Hunter

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.

NOTARY PUBLIC; NOT INVESTMENT RELATED; STATE OF VIRGINIA; NOTARIZE DOCUMENTS; START DATE = 02/22/13; LESS THAN ONE HOUR DEVOTED PER MONTH DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tricia Hunter Mustico'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 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

CRD#: 11025

RICHMOND, VA

Past

May 27, 2005 - February 26, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

RICHMOND, VA

Past

April 27, 2005 - February 26, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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".

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

Virginia
(6/6/2019)

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: 5/26/2005

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: 4/26/2005

General Securities Representative 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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Advisor Monitoring

Firm Stability Insights

Tricia H. Mustico

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tricia Hunter Mustico's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

HEARTWOOD WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/26/2005

SIE

Date: 10/1/2018

Series 7

Date: 4/26/2005

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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