FENWAY FINANCIAL ADVISORS, LLC of ARLINGTON, VA is an SEC-registered investment adviser (CRD 139775). Regulatory assets under management: $247.7M. This firm reports disciplinary history on Form ADV.
Compensation: Hourly, Fixed.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Stephen Michael Wintermeier | MANAGING PRINCIPAL, CHIEF COMPLIANCE OFFICER | — |
| WINTERMEIER STEPHEN MICHAEL | MANAGING PRINCIPAL, CHIEF COMPLIANCE OFFICER | — |
| CATLIN CAROLYN BELLA | PRINCIPAL | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-02-16 | regulatory | ON FEBRUARY 16TH, 2022, THE COMMONWEALTH OF MASSACHUSETTS. OFFICE OF THE SECRETARY OF THE COMMONWEALTH SECURITIES DIVISION ENTERED INTO A CONSENT ORDER ("ORDER") WITH FENWAY FINANCIAL ADVISORS. THE ORDER CONCLUDED THAT FENWAY FINANCIAL ADVISORS PROVIDED INVESTMENT ADVISORY SERVICES TO CLIENTS IN MAS… | Final | $50K |
| City | State | Employees | Phone |
|---|---|---|---|
| — | — | 2 | 617-704-7805 |
| — | — | 2 | 617-704-7805 |