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NH

Nicole M. Heavern

RIVERVIEW CAPITAL ADVISERS LLC
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 6681375
NH

Professional summary

Nicole Marie Heavern, who also goes by Nicole Marie Heaven, is a registered financial advisor currently at RIVERVIEW CAPITAL ADVISERS LLC located in Boston, Massachusetts.

Nicole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Nicole has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Nicole Marie Heaven

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 Nicole Marie Heavern'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

October 6, 2020 - Present

RIVERVIEW CAPITAL ADVISERS LLC

Office #1: 265 Franklin Street Suite 403, Boston, MA 02110
RIA
CRD#: 140377
BOSTON, MA
Past

September 28, 2016 - May 6, 2020

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Boston, MA

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".
RC
RIVERVIEW CAPITAL ADVISERS LLC
AH ADVISERS | RIVERVIEW CAPITAL ADVISERS LLC | ANDREWHUNTER ADVISERS

CRD#: 140377 / SEC#: 801-66623

RIA
Registered Investment Advisory firm - (5/3/2006 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
Massachusetts
(10/6/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/24/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/21/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/22/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/28/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/22/2024
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/22/2024
General Securities Sales Supervisor - Options Module Examination

Current Firm

RC
RIVERVIEW CAPITAL ADVISERS LLC
AH ADVISERS | RIVERVIEW CAPITAL ADVISERS LLC | ANDREWHUNTER ADVISERS

CRD#: 140377 / SEC#: 801-66623

RIA
Registered Investment Advisory firm - (5/3/2006 Approved)
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Contact information

Main Address
265 Franklin Street Suite 403, Boston, MA 02110
Mailing Address
Phone number
(617) 423-0080
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AHA PART 2A (3/31/2025)
RCA PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts599
AUM (Assets Under Management)$ 618,836,046

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.

Company Information

RIVERVIEW CAPITAL ADVISERS LLC

CRD#: 140377Boston, MA 02110

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