Lisa Heffley has been an investment adviser representative at Garton and Associates Financial Advisors since November 2021, and is not listed among the firm’s executive officers or direct owners. Lisa Heffley holds a Bachelor of Science in Business Administration and Psychology from the University of Pittsburgh.
Garton and Associates Financial Advisors LLC is a Louisville, KY firm with $215M under management, 369 clients and 5 advisers across 2 offices, as of its August 2026 filing.
Lisa Heffley is an investment adviser representative of Advantage Investment Management, based in Louisville, Kentucky. She has worked in the financial services industry for over 30 years and has been with the firm since 2013, working with advisors on investment research, portfolio review and analysis, administration, and operations and sales support. She began her career with Raymond James Financial.
- – present · 4 yearsLouisville, KY · Adviser representative · Firm CRD 146493
Professional designations
Listed by Garton and Associates Financial Advisors
- ChFC
Investment adviser representative registrations
Lisa Heffley is registered as an investment adviser representative in 2 states. The first approvals date from November 2021; the most recent is Texas, in February 2025.
- KentuckySince 5 November 2021
- TexasSince 6 February 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 5 April 2018 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 April 1989 |
| Series 7 | General Securities Representative Examination | 17 December 1988 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 9 May 1988 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Lisa Carol Heffley
- CRD
- 1823107
- Firm
- Garton and Associates Financial Advisors · CRD 146493
- Office
- 2319 LIME KILN LANE, SUITE A, Louisville, KY 40222
- Registration
- Investment adviser registration
- In the industry since
- February 1994
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- aim-rps.com
Where does Lisa Heffley work?
Lisa Heffley is an investment adviser representative registered through Garton and Associates Financial Advisors LLC since November 2021, and is not listed among the firm’s executive officers or direct owners.
Is Lisa Heffley a financial advisor?
Yes. Lisa Heffley has a current investment-adviser registration in Kentucky and Texas, through Garton and Associates Financial Advisors since November 2021.
How many years of experience does Lisa Heffley have?
Lisa Heffley has 32 years in the financial industry, since February 1994, across 1 adviser firm.
What exams has Lisa Heffley passed?
Lisa Heffley has passed 4 licensing exams: the Series 6, Series 7, Series 63 and Series 65. The earliest, the Series 6, was passed in May 1988. FINRA credited Lisa Heffley with the SIE, which began in October 2018.
Where is Lisa Heffley based?
Lisa Heffley’s registered office is in Louisville, KY.
Is Lisa Heffley registered with FINRA?
No. Lisa Heffley has no current broker registration.
How can I verify Lisa Heffley’s record?
Search CRD 1823107 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Lisa Heffley’s full registration record.
