Thaddeus D. Heggeness

SCHARF INVESTMENTS

Los Gatos, CA 95032

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CRD#: 6239098

Professional summary

Thaddeus D Heggeness, who also goes by Farmer, is a registered financial advisor currently at SCHARF INVESTMENTS, LLC located in Los Gatos, California.

Thaddeus is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Thaddeus has worked at 4 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Farmer

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 Thaddeus D Heggeness'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

February 20, 2024 - Present

SCHARF INVESTMENTS, LLC

Office #1: 16450 Los Gatos Boulevard, Suite 207, Los Gatos, CA 95032

RIA

CRD#: 105508

Los Gatos, CA

Past

April 30, 2015 - March 14, 2018

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

NEWPORT BEACH, CA

Past

April 29, 2015 - March 14, 2018

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEWPORT BEACH, CA

Past

December 11, 2014 - April 29, 2015

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

NEWPORT BEACH, CA

Past

December 11, 2014 - April 29, 2015

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

NEWPORT BEACH, CA

Past

October 23, 2013 - October 6, 2014

MORGAN STANLEY

RIA

CRD#: 149777

NEWPORT BEACH, CA

Past

October 1, 2013 - October 6, 2014

MORGAN STANLEY

CRD#: 149777

NEWPORT BEACH, CA

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".

SCHARF INVESTMENTS, LLC

SCHARF INVESTMENTS | SCHARF JEFFREY ROBERT | SCHARF INVESTMENTS, LLC

CRD#: 105508 / SEC#: 801-18799

RIA

Registered Investment Advisory firm - (5/6/1983 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

California
(2/20/2024)

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: 2/16/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/22/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/14/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/30/2013

General Securities Representative Examination

Current Firm

SCHARF INVESTMENTS, LLC

SCHARF INVESTMENTS | SCHARF JEFFREY ROBERT | SCHARF INVESTMENTS, LLC

CRD#: 105508 / SEC#: 801-18799

RIA

Registered Investment Advisory firm - (5/6/1983 Approved)

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Contact information

Main Address

16450 Los Gatos Boulevard, Suite 207, Los Gatos, CA 95032

Mailing Address

Phone number

(831) 429-6513

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (45 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II BROCHURE (3/17/2025)

Regulatory assets under management

Total Number of Accounts	1,523
AUM (Assets Under Management)	$ 4,227,121,971

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/17/2025	Cover Page	Report
01/17/2025	Cover Page	Report
09/09/2024	Cover Page	Report
10/30/2023	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

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Thaddeus D. Heggeness

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thaddeus D Heggeness's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

SCHARF INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/16/2024

Series 66

Date: 10/22/2013

SIE

Date: 3/14/2018

Series 7

Date: 9/30/2013

Current Firm

SCHARF INVESTMENTS, LLC

Contact information

SEC notice filing (45 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SCHARF INVESTMENTS, LLC

TRUST BUT VERIFY

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