AdFi
NM

Nicole Marie Heavern

Investment Adviser Representative at RIVERVIEW CAPITAL ADVISERS LLC

Boston, MACRD #6681375Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
9 yrs
States Registered
1 states
Exams Passed
7

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Massachusetts
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 8/24/2020
Series 63
Uniform Securities Agent State Law Examination
Passed 11/21/2016
Series 7
General Securities Representative Examination
Passed 3/22/2024
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 9/28/2016
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 3/22/2024
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 3/22/2024

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.01
Asset tierAnnual rate
Less than $5,000,0001.00%
$5,000,000.01 and above
Source

Riverview Capital Advisers LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

RIVERVIEW CAPITAL ADVISERS LLCCurrent
10/6/2020Boston, MA
CHARLES SCHWAB & CO., INC.
9/28/20165/6/2020Boston, MA

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at RIVERVIEW CAPITAL ADVISERS LLC

4 other advisors in the directory

View RIVERVIEW CAPITAL ADVISERS LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Nicole Marie Heavern has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Nicole Marie Heavern - Financial Advisor in Boston, MA | AdvisorFinder