HERITAGE WEALTH MANAGEMENT of WOBURN, MA is an SEC-registered investment adviser (CRD 159158). Regulatory assets under management: $153.2M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: High net worth, Pooled vehicles, Other.
| Name | Role | Location |
|---|---|---|
| Vincent Serratore | SENIOR MANAGING DIRECTOR, CCO | — |
| Katherine Salome Horgan | SENIOR MANAGING PRINCIPAL/CIO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-05-05 | regulatory | INVESTMENT RECOMMENDATIONS WERE NOT SUITABLE TO CLIENT INVESTMENT OBJECTIVES. | Final | $40K |