Lois J. Heaphy

HEAPHY INVESTMENTS

Springfield, MA 01103

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CRD#: 5040931

Professional summary

Lois Jean Heaphy, who also goes by Lois Jean Battige, Lois B Heaphy, is a registered financial advisor currently at HEAPHY INVESTMENTS, LLC located in Springfield, Massachusetts.

Lois is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2025. Lois has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lois Jean Battige | Lois B Heaphy

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 Lois Jean Heaphy'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

February 24, 2025 - Present

HEAPHY INVESTMENTS, LLC

Office #1: 32 Hampden Street 3rd Floor, Springfield, MA 01103

RIA

CRD#: 151849

Springfield, MA

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

Massachusetts
(2/24/2025)

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: 1/22/2025

Uniform Investment Adviser Law Examination

Current Firm

HEAPHY INVESTMENTS, LLC

CRD#: 151849 / SEC#: 801-70962

RIA

Registered Investment Advisory firm - (9/7/2012 Terminated)

Massachusetts

Registered Investment Advisory firm - (6/26/2012 Approved)

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).

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Contact information

Main Address

32 Hampden Street, Springfield, MA 01103

Mailing Address

P. O. Box 1529, Springfield, MA 01101-1529

Phone number

(413) 736-8805

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	223
AUM (Assets Under Management)	$ 74,733,905

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/21/2025	Cover Page	Report
01/27/2025	Cover Page	Report
09/28/2023	Cover Page	Report
11/28/2022	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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Lois J. Heaphy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lois Jean Heaphy's CRS (Customer Relationship Summary).

Certified licenses

Experience

HEAPHY INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/22/2025

Current Firm

HEAPHY INVESTMENTS, LLC

Contact information

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

HEAPHY INVESTMENTS, LLC

TRUST BUT VERIFY

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