Amy W. Garza

HERITAGE ASSET ADVISORS LTD., LLP

Houston, TX

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CRD#: 3207556

Professional summary

Amy Wood Garza is a registered financial advisor currently at HERITAGE ASSET ADVISORS LTD., LLP located in Houston, Texas.

Amy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Amy has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Wood Garza'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

July 16, 2007 - Present

HERITAGE ASSET ADVISORS LTD., LLP

RIA

CRD#: 144125

Houston, TX

Past

June 17, 1999 - July 25, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HOUSTON, TX

Past

June 3, 1999 - July 25, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

HOUSTON, TX

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".

HERITAGE ASSET ADVISORS LTD., LLP

CRD#: 144125 / SEC#: 801-67956

RIA

Registered Investment Advisory firm - (6/6/2007 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

Texas
(7/16/2007)

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: 6/29/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/16/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/2/1999

General Securities Representative Examination

Current Firm

HERITAGE ASSET ADVISORS LTD., LLP

CRD#: 144125 / SEC#: 801-67956

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

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Contact information

Main Address

Houston, TX

Mailing Address

Phone number

(281) 966-3370

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HERITAGE ASSET ADVISORS LTD., LLP WRAP FEE BROCHURE (3/26/2025)

HERITAGE ASSET ADVISORS LTD., LLP MANAGED ACCOUNT WRAP FEE BROCHURE (3/26/2025)

HERITAGE ASSET ADVISORS LTD., LLP FIRM BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	790
AUM (Assets Under Management)	$ 256,371,629

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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Amy W. Garza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Wood Garza's CRS (Customer Relationship Summary).

Certified licenses

Experience

HERITAGE ASSET ADVISORS LTD., LLP

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

HERITAGE ASSET ADVISORS LTD., LLP

State Registrations and Notice Filings

Exams

Series 65

Date: 6/29/1999

Series 63

Date: 6/16/1999

Series 7

Date: 6/2/1999

Current Firm

HERITAGE ASSET ADVISORS LTD., LLP

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HERITAGE ASSET ADVISORS LTD., LLP

TRUST BUT VERIFY

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