Amy A. Lawler

PRINCIPLE WEALTH

OLD SAYBROOK, CT 06475

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CRD#: 3104946

Professional summary

Amy Alisia Lawler, who also goes by Amy Alisia Wise, is a registered financial advisor currently at PRINCIPLE WEALTH located in Old Saybrook, Connecticut.

Amy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Amy has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Amy Alisia Wise

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.) NOTARY PUBLIC; 11/25/2016: No Business Name - Investment Related - At Reported Business Location(s) - Other-Notary - Started 12/01/2016 - 1 Hour Per Month During Securities Trading - Notary public.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Alisia Lawler'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®

None

Experience

Current

December 8, 2020 - Present

PRINCIPLE WEALTH

Office #1: 1180 Boston Post Road, Old Saybrook, CT 06475

RIA

CRD#: 290180

OLD SAYBROOK, CT

Past

April 15, 2015 - December 14, 2020

NORTHSTAR WEALTH PARTNERS LLC

RIA

CRD#: 169409

WEST HARTFORD, CT

Past

July 10, 2013 - February 24, 2021

LPL FINANCIAL LLC

CRD#: 6413

OLD SAYBROOK, CT

Past

March 6, 2006 - August 5, 2013

ESSEX FINANCIAL SERVICES, INC.

CRD#: 127549

ESSEX, CT

Past

March 19, 2004 - June 2, 2005

PGIM INVESTMENTS LLC

RIA

CRD#: 105670

SHELTON, CT

Past

December 11, 2003 - June 2, 2005

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

March 10, 2003 - December 17, 2003

AMERICAN SKANDIA ADVISORY SERVICES, INC.

RIA

CRD#: 109211

SHELTON, CT

Past

July 10, 2000 - December 17, 2003

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

September 24, 1998 - February 8, 2000

PEOPLE'S SECURITIES, INC.

CRD#: 13704

BRIDGEPORT, CT

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".

PRINCIPLE WEALTH

PRINCIPLE WEALTH | PRINCIPLE WEALTH PARTNERS LLC

CRD#: 290180 / SEC#: 801-111911

RIA

Registered Investment Advisory firm - (10/20/2017 Approved)

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

Connecticut
(12/8/2020)

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 66

Date: 12/6/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/2/1998

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: 9/23/1998

General Securities Representative Examination

Current Firm

PRINCIPLE WEALTH

PRINCIPLE WEALTH | PRINCIPLE WEALTH PARTNERS LLC

CRD#: 290180 / SEC#: 801-111911

RIA

Registered Investment Advisory firm - (10/20/2017 Approved)

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Contact information

Main Address

670 Boston Post Road, Madison, CT 06443

Mailing Address

Po Box 1007, Madison, CT 06443

Phone number

(203) 318-8892

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (4/21/2025)

Regulatory assets under management

Total Number of Accounts	3,732
AUM (Assets Under Management)	$ 2,658,955,480

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/26/2025	Cover Page	Report
11/13/2024	Cover Page	Report
05/09/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Amy A. Lawler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Alisia Lawler's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHSTAR WEALTH PARTNERS LLC

LPL FINANCIAL LLC

ESSEX FINANCIAL SERVICES, INC.

PGIM INVESTMENTS LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

AMERICAN SKANDIA ADVISORY SERVICES, INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

PEOPLE'S SECURITIES, INC.

Primary Firm SEC Registration

PRINCIPLE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 12/6/2000

Series 63

Date: 11/2/1998

SIE

Date: 10/1/2018

Series 7

Date: 9/23/1998

Current Firm

PRINCIPLE WEALTH

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PRINCIPLE WEALTH

TRUST BUT VERIFY

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