Unclaimed Profile

Lois B Heaphy

HEAPHY INVESTMENTS, LLC·SPRINGFIELD, Massachusetts

Series 65Clean record1 years registeredHEAPHY INVESTMENTS, LLC

32 HAMPDEN STREET, SPRINGFIELD, MA 01103CRD# 5040931Firm CRD# 151849

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Lois B Heaphy · SPRINGFIELD, MA

Registration

CRD #5040931 · HEAPHY INVESTMENTS, LLC · 1 years registered

Brand Profile

Not yet started

Career History

HEAPHY INVESTMENTS, LLC

Feb 2025 – present

Registrations & Exams

FINRA examinations passed

Series 65

Registration record

First registered · February 24, 2025

Years registered · 1

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

HEAPHY INVESTMENTS, LLC

CRD 151849 · SEC 801-70962

AUM

$48M

Regulatory assets under management

Employees

258 client accounts

Services offered by HEAPHY INVESTMENTS, LLC

Per Form ADV

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

View all advisors at HEAPHY INVESTMENTS, LLC →

Introduction

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Frequently Asked Questions

What services does Lois B Heaphy offer?

Lois B Heaphy specializes in Investment Management, Fee-Only Advisory. Contact their office in SPRINGFIELD, Massachusetts for a consultation.

What are Lois B Heaphy's credentials?

Lois B Heaphy is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Lois B Heaphy located?

Lois B Heaphy is based in SPRINGFIELD, Massachusetts, working with HEAPHY INVESTMENTS, LLC. Their office serves clients in the SPRINGFIELD metropolitan area and surrounding communities.

How does Lois B Heaphy charge for services?

Lois B Heaphy's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is HEAPHY INVESTMENTS, LLC?

HEAPHY INVESTMENTS, LLC has approximately 1 employees and manages $48M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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