James D. Heavey

JAMES HEAVEY WEALTH ADVISORS

Rockport, ME

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CRD#: 5341076

Professional summary

James Daniel Heavey, AIF® is a registered financial advisor currently at JAMES HEAVEY WEALTH ADVISORS, LLC located in Rockport, Maine.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. James has worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 6 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.

(1) INSURANCE SALES NON-INVST RELATED 1279 BUTLER ROAD UNION, ME 04862 ACCESS NEED FOR INSURANCE AND PROVIDE POLICIES AS INDICATED 8 HRS/WK STARTED 08/2011.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Daniel Heavey'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

May 3, 2017 - Present

JAMES HEAVEY WEALTH ADVISORS, LLC

Office #2: 30 School St., Rockland, ME 04841

RIA

CRD#: 287645

Rockport, ME

Past

May 13, 2013 - May 8, 2017

FORESTERS EQUITY SERVICES, INC.

RIA

CRD#: 18464

ROCKPORT, ME

Past

July 12, 2011 - May 3, 2017

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

Past

April 23, 2010 - May 18, 2011

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

CAMDEN, ME

Past

July 2, 2008 - May 18, 2011

SIGNATOR INVESTORS, INC.

CRD#: 468

CAMDEN, ME

Past

September 21, 2007 - June 3, 2008

WADDELL & REED

CRD#: 866

PORTSMOUTH, NH

Past

September 12, 2007 - June 3, 2008

WADDELL & REED

RIA

CRD#: 866

PORTSMOUTH, NH

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

Maine
(5/3/2017)

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

Series 63

Date: 12/21/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/23/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 5/3/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/20/2007

Investment Company Products/Variable Contracts Representative Examination

Current Firm

JAMES HEAVEY WEALTH ADVISORS, LLC

CRD#: 287645 / SEC#:

Maine

Registered Investment Advisory firm - (3/17/2017 Approved)

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Contact information

Main Address

Rockport, ME

Mailing Address

Phone number

(207) 593-3280

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	174
AUM (Assets Under Management)	$ 10,900,070

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

James D. Heavey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Daniel Heavey's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESTERS EQUITY SERVICES, INC.

FORESTERS EQUITY SERVICES, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

WADDELL & REED

WADDELL & REED

State Registrations and Notice Filings

Exams

Series 63

Date: 12/21/2007

Series 65

Date: 8/23/2007

SIE

Date: 5/3/2017

Series 6

Date: 9/20/2007

Current Firm

JAMES HEAVEY WEALTH ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JAMES HEAVEY WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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