Lisa C. Heffley

ADVANTAGE INVESTMENT MANAGEMENT

Louisville, KY 40222

Some features on this profile are disabled

CRD#: 1823107

Professional summary

Lisa Carol Heffley, ChFC® is a registered financial advisor currently at ADVANTAGE INVESTMENT MANAGEMENT located in Louisville, Kentucky.

Lisa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Lisa has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. Temple Board of Trustees & Investment Committee; not investment related; 5101 Us-42 Louisville, KY, 40241; Religious Organization non-profit; Member; Start date: 01/20174; 2 hrs/month outside of securities trading hours; 0 hrs/mnth during securities trading hours; attend quarterly meetings and listen to updates given by PC manager and investment advisor to the temple.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Carol Heffley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

ChFC^®

Chartered Financial Consultant

Experience

Current

November 5, 2021 - Present

ADVANTAGE INVESTMENT MANAGEMENT

Office #1: Glenview Pointe Business Center 2319 Lime Kiln Lane, Suite A, Louisville, KY 40222

RIA

CRD#: 146493

Louisville, KY

Past

November 24, 2020 - March 31, 2022

D. BORAL CAPITAL

CRD#: 103792

Louisville, KY

Past

September 18, 2020 - November 19, 2020

SECURITIES AMERICA, INC.

CRD#: 10205

LOUSIVILLE, KY

Past

May 23, 2013 - September 18, 2020

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

LOUSIVILLE, KY

Past

April 10, 2000 - June 14, 2011

TOUCHSTONE SECURITIES, INC.

CRD#: 1526

LOUISVILLE, KY

Past

July 30, 1997 - April 7, 2000

ARM SECURITIES CORPORATION

CRD#: 932

MINOT, ND

Past

August 23, 1996 - February 21, 1997

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

October 2, 1991 - March 15, 1995

AFSG SECURITIES CORPORATION

CRD#: 18374

CEDAR RAPIDS, IA

Past

November 30, 1989 - January 1, 1990

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

Past

May 10, 1988 - September 11, 1989

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ADVANTAGE INVESTMENT MANAGEMENT

CRD#: 146493 / SEC#: 801-125798

RIA

Registered Investment Advisory firm - (5/2/2022 Approved)

Indiana

Registered Investment Advisory firm - (5/6/2022 Terminated)

Kentucky

Registered Investment Advisory firm - (6/17/2022 Terminated)

Pennsylvania

Registered Investment Advisory firm - (5/5/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Kentucky
(11/5/2021)

IAR

Texas
(2/6/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/5/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/20/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/1988

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/9/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ADVANTAGE INVESTMENT MANAGEMENT

CRD#: 146493 / SEC#: 801-125798

RIA

Registered Investment Advisory firm - (5/2/2022 Approved)

Indiana

Registered Investment Advisory firm - (5/6/2022 Terminated)

Kentucky

Registered Investment Advisory firm - (6/17/2022 Terminated)

Pennsylvania

Registered Investment Advisory firm - (5/5/2022 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Glenview Pointe Business Center 2319 Lime Kiln Lane, Suite A, Louisville, KY 40222

Mailing Address

Phone number

(502) 212-3000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	386
AUM (Assets Under Management)	$ 184,871,474

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Trystan Downey

CERITY PARTNERS LLC

IAR

LOUISVILLE, KY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lisa C. Heffley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Carol Heffley's CRS (Customer Relationship Summary).

Certified licenses

Experience

D. BORAL CAPITAL

SECURITIES AMERICA, INC.

SECURITIES SERVICE NETWORK, LLC

TOUCHSTONE SECURITIES, INC.

ARM SECURITIES CORPORATION

GUARDIAN INVESTOR SERVICES LLC

AFSG SECURITIES CORPORATION

J.J.B. HILLIARD, W.L. LYONS, LLC

RAYMOND JAMES & ASSOCIATES, INC.

Primary Firm SEC Registration

ADVANTAGE INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 4/5/2018

Series 63

Date: 4/20/1989

SIE

Date: 10/1/2018

Series 7

Date: 12/17/1988

Series 6

Date: 5/9/1988

Current Firm

ADVANTAGE INVESTMENT MANAGEMENT

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADVANTAGE INVESTMENT MANAGEMENT

TRUST BUT VERIFY

Similar Advisors