Katherine Horgan has been Senior Managing Principal/CIO of Heritage Wealth Management since January 2025, is not listed as a control person, but directly owns under 5% of the firm. Katherine Horgan holds a Bachelor of Arts in Political Science and Classical Area Studies from Rhode Island College. Katherine Horgan studied Business and Legal studies at Richmond College, London, England.
Heritage Wealth Management, Inc. is a Woburn, MA firm with $153M under management, 218 clients and 2 advisers across 3 offices, as of its August 2026 filing.
Katherine Horgan is Senior Vice President of Heritage Wealth Management. She has served individual and institutional clients in the community for over 30 years. She began her career in 1986 as an Investment Representative with Advest, Inc., became Vice President and Investment Officer with TD BankNorth, and later was an Investment Officer with Cape Cod Five Trust and Asset Management.
Katherine Horgan’s longest registration is the current one, 14 years at Heritage Wealth Management since 2011. Before joining Heritage Wealth Management in 2011, Katherine Horgan was registered through Investors Capital Advisory and Raymond James Financial Services Advisors, Inc.
- Heritage Wealth ManagementCurrent– present · 14 yearsOsterville, MA · Adviser representative · Firm CRD 159158
- Investors Capital Advisory– · 1 yearMedford, MA · Adviser representative · Firm CRD 30613
- Raymond James Financial Services Advisors, Inc– · 1 yearWest Chatham, MA · Adviser representative · Firm CRD 149018
Investment adviser representative registrations
Katherine Horgan is registered as an investment adviser representative in Massachusetts, since November 2011.
- MassachusettsSince 10 November 2011
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 24 March 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 October 2004 |
| Series 7 | General Securities Representative Examination | 22 April 2004 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Katherine Salome Horgan
- CRD
- 1601776
- Firm
- Heritage Wealth Management · CRD 159158
- Role
- Senior Managing Principal/CIO
- Office
- Osterville, MA
- Registration
- Investment adviser registration
- In the industry since
- April 2006
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- hwmcorp.com
Where does Katherine Horgan work?
Katherine Horgan has been Senior Managing Principal/CIO of Heritage Wealth Management, Inc. since January 2025.
Is Katherine Horgan a financial advisor?
Yes. Katherine Horgan has a current investment-adviser registration in Massachusetts, through Heritage Wealth Management since November 2011.
How many years of experience does Katherine Horgan have?
Katherine Horgan has 20 years in the financial industry, since April 2006, across 3 adviser firms.
What exams has Katherine Horgan passed?
Katherine Horgan has passed 3 licensing exams: the Series 7, Series 63 and Series 66. The earliest, the Series 7, was passed in April 2004. FINRA credited Katherine Horgan with the SIE, which began in October 2018.
Where did Katherine Horgan work before Heritage Wealth Management?
Before Heritage Wealth Management, Katherine Horgan was registered through Raymond James Financial Services Advisors, Inc, March 2009 to November 2010.
Where is Katherine Horgan based?
Katherine Horgan’s registered office is in Osterville, MA.
Is Katherine Horgan registered with FINRA?
No. Katherine Horgan has no current broker registration.
How can I verify Katherine Horgan’s record?
Search CRD 1601776 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Katherine Horgan’s full registration record.
