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RIA / WealthAdvisor14 years in industry

Michelle MH Hams

Advisor at HERITAGE WEALTH MANAGEMENT, INC.

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:91f2c815-bebf-0be0-0571-a65860669b1b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 28, 2012 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: HERITAGE WEALTH MANAGEMENT, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 22, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Mar 22, 2012
First registration: Mar 28, 2012
Dual registered: no
Other names: MICHELLE MIDORI HARRISON|Michelle M Harrison
IAPD individual key: 6021969

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
HERITAGE WEALTH MANAGEMENT, INC.	Independent wealth	Dec 21, 2021	n/a	yes	SAN DIEGO, CA	Current employment
THE KOCEN FINANCIAL GROUP, INC.	Independent wealth	Oct 26, 2021	Feb 28, 2022	no	San Diego, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Aug 21, 2017	Oct 1, 2021	no	SAN DIEGO, CA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Mar 19, 2013	Jul 13, 2017	no	SAN DIEGO, CA\|san diego, CA\|Westlake, TX	Previous registration
SECURIAN FINANCIAL SERVICES, INC.	Former SEC adviser	Mar 28, 2012	Mar 20, 2013	no	Rancho Santa Fe, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
THE KOCEN FINANCIAL GROUP, INC.	HERITAGE WEALTH MANAGEMENT, INC.	Feb 28, 2022	Dec 21, 2021	-69	Firm change after gap	RIA to new firm
LPL FINANCIAL LLC	THE KOCEN FINANCIAL GROUP, INC.	Oct 1, 2021	Oct 26, 2021	25	Firm change	Ibd to RIA
TD AMERITRADE, INC.	LPL FINANCIAL LLC	Jul 13, 2017	Aug 21, 2017	39	Firm change	Other
SECURIAN FINANCIAL SERVICES, INC.	TD AMERITRADE, INC.	Mar 20, 2013	Mar 19, 2013	-1	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
112129:316956:CA:2022-02-28	Feb 28, 2022	Dec 21, 2021	SAN DIEGO, CA	Firm change after gap

Relationships

Registered with (5)

→ HERITAGE WEALTH MANAGEMENT, INC.Registered adviserregistration: current employment
Dec 21, 2021 to presentfactForm ADV
→ THE KOCEN FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Oct 26, 2021 to Feb 28, 2022factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Aug 21, 2017 to Oct 1, 2021factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Mar 19, 2013 to Jul 13, 2017factForm ADV
→ SECURIAN FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Mar 28, 2012 to Mar 20, 2013factForm ADV

Dated events

Occurred
Feb 28, 2022
Advisor changed firm
Michelle Mh Hams left The Kocen Financial Group, Inc. for Heritage Wealth Management, Inc. (registered 2021-12-21)
Form ADVobserved 5 days ago