HERITAGE WEALTH MANAGEMENT, LLC
CRD #158107 SEC #801-106598 PHOENIX, AZ (602) 569-9959
SEC Registered
Total AUM
$159.3M
Discretionary
$158.8M
Employees
8
Clients
251
Accounts
861
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Arizona
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 14, 2017
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| HEALEY, KEEGAN, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Healey, Keegan | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Healey, Keegan | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Healey, Keegan | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Healey, Keegan | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Healey, Keegan | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Healey, Keegan | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MAXEY, DAVID, ELGIN | I | DIRECTOR | NA | |
| FROST, MICHAEL, BRENT | I | PRESIDENT | E | Control |
| FROST, MICHAEL, BRENT | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| FROST, MICHAEL, BRENT | I | PRESIDENT | E | Control |
| FROST, MICHAEL, BRENT | I | PRESIDENT | E | Control |
| FROST, MICHAEL, BRENT | I | PRESIDENT | E | Control |
| FROST, MICHAEL, BRENT | I | PRESIDENT | E | Control |
| FROST, MICHAEL, BRENT | I | PRESIDENT | E | Control |
| FROST, MICHAEL, BRENT | I | PRESIDENT | C | Control |
| NELSON, RALPH, ERWIN | I | CHIEF EXECUTIVE OFFICER | C | Control |
Registrations
Federal
IA
Feb 14, 2017 REGISTERED
Notice Filings (4)
AZ CA LA TX
Address
1440 E. MISSOURI AVESUITE C200
PHOENIX, AZ 85014
United States
Phone: (602) 569-9959