AW
Amber L. Wallis
HERITAGE FINANCIAL SOLUTIONS
Dodge City, KS 67801
Some features on this profile are disabled
CRD#: 4442102
AW
Professional summary
Amber Lee Wallis, who also goes by Amber L. Law, Amber Lee Law, Amber Law, Amber L. Wallis, Amber Wallis, is a registered financial advisor currently at HERITAGE FINANCIAL SOLUTIONS, LLC located in Dodge City, Kansas and LPL FINANCIAL LLC located in Dodge City, Kansas.
Amber is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Amber has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amber L. Law | Amber Lee Law | Amber Law | Amber L. Wallis | Amber Wallis
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.) 06/20/2014 - AMBER WALLIS, NOTARY PUBLIC/ NOTARY PUBLIC/ 0%/ DODGE CITY, KS; (2.) 1/25/2017 - WILLIAM HAYDEN WEALTH MANAGEMENT, LLC - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - STARTED 01/01/2017 - 4 HOURS PER MONTH DURING SECURITIES TRADING. (3) 09/08/2022 - Diversified Portfolio Mgmt, LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 02/13/2014 - 12 Hours Per Month/ 1 Hour During Trading - I provide investment advisory services through Diversified Portfolio Mgmt, LLC, an independent investment advisor firm. I started this business activity in 10/2017. I expect to spend approximately 10/2017 hours per month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Amber Lee Wallis's 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®
NoneExperience
Current
May 10, 2013 - Present
HERITAGE FINANCIAL SOLUTIONS, LLC
Office #1: 707 3rd Avenue Suite B, Dodge City, KS 67801RIA
CRD#: 131008
Dodge City, KS
Current
June 20, 2014 - Present
LPL FINANCIAL LLC
Office #1: 707 3rd Ave Ste B, Dodge City, KS 67801RIA
BD
CRD#: 6413
Dodge City, KS
Past
March 26, 2009 - June 24, 2014
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
DODGE CITY, KS
Past
March 25, 2009 - June 24, 2014
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
DODGE CITY, KS
Past
August 24, 2007 - March 9, 2009
PINION WEALTH MANAGEMENT, LLC
RIA
CRD#: 114556
GARDEN CITY, KS
Past
September 28, 2005 - March 9, 2009
SECURITIES AMERICA, INC.
BD
CRD#: 10205
GARDEN CITY, KS
Past
October 1, 2001 - October 10, 2005
CAP PRO BROKERAGE SERVICES, INC.
BD
CRD#: 103953
COLUMBUS, OH
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/5/2016)
RR
Arizona(1/19/2021)
RR
California(6/20/2014)
RR
Colorado(6/20/2014)
IAR
Colorado(9/27/2023)
RR
Florida(1/19/2021)
RR
Iowa(1/19/2021)
IAR
Kansas(5/10/2013)
RR
Kansas(6/20/2014)
RR
Minnesota(7/8/2021)
RR
Missouri(1/19/2021)
RR
New Jersey(1/19/2021)
RR
North Dakota(6/20/2014)
RR
Oklahoma(6/20/2014)
IAR
Texas(5/14/2013)
RR
Texas(6/20/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HF
HERITAGE FINANCIAL SOLUTIONS, LLC
DIVERSIFIED PORTFOLIO MANAGEMENT, LLC | HERITAGE FINANCIAL SOLUTIONS, LLC
CRD#: 131008 / SEC#: 801-121552
RIA
Registered Investment Advisory firm - (10/2/2023 Terminated)California
Registered Investment Advisory firm - (4/1/2018 Terminated)Colorado
Registered Investment Advisory firm - (9/27/2023 Approved)Kansas
Registered Investment Advisory firm - (8/21/2023 Approved)Louisiana
Registered Investment Advisory firm - (7/12/2021 Terminated)Texas
Registered Investment Advisory firm - (8/30/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
707 3rd Avenue Suite B, Dodge City, KS 67801
Mailing Address
Phone number
(620) 471-2020
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 368 |
| AUM (Assets Under Management) | $ 93,025,677 |
Red Flags
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Company Information
HERITAGE FINANCIAL SOLUTIONS, LLC
CRD#: 131008Dodge City, KS 67801TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
