Heather E. Hawley

KESTRA ADVISORY SERVICES

Syracuse, NY

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CRD#: 5373765

Professional summary

Heather E Hawley, CFP®, who also goes by Heather Elizabeth Lawlor, Heather Lawlor, Heather Elizabeth Lawlor-hawley, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Syracuse, New York and KESTRA INVESTMENT SERVICES, LLC located in Utica, New York.

Heather is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Heather has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Heather Elizabeth Lawlor | Heather Lawlor | Heather Elizabeth Lawlor-Hawley

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 Heather E Hawley'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®

CFP^®

Certified Financial Planner

Start date: 2018

Experience

Current

January 6, 2026 - Present

KESTRA ADVISORY SERVICES, LLC

Office #2: 2113 Genesee St, Utica, NY 13501

RIA

CRD#: 283330

Syracuse, NY

Current

January 6, 2026 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 2113 Genesee St, Utica, NY 13501Office #2: 4914 W Genesee St Ste 104, Camillus, NY 13031

CRD#: 42046

Utica, NY

Past

January 2, 2025 - December 8, 2025

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Utica, NY

Past

January 2, 2025 - December 8, 2025

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

Utica, NY

Past

December 23, 2015 - January 9, 2025

OSAIC WEALTH, INC.

RIA

CRD#: 23131

UTICA, NY

Past

April 23, 2014 - November 30, 2021

ADVANCED GROUP FINANCIAL SERVICES, LLC

RIA

CRD#: 151451

UTICA, NY

Past

October 7, 2011 - January 9, 2025

OSAIC WEALTH, INC.

CRD#: 23131

UTICA, NY

Past

May 14, 2008 - October 5, 2011

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

SYRACUSE, NY

Past

August 9, 2007 - October 5, 2011

EQUITABLE ADVISORS, LLC

CRD#: 6627

SYRACUSE, NY

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".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 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.

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

Alabama
(1/6/2026)

Florida
(1/6/2026)

Georgia
(1/6/2026)

Hawaii
(1/6/2026)

Iowa
(1/6/2026)

Maryland
(1/6/2026)

Massachusetts
(1/6/2026)

New York
(1/6/2026)

IAR

New York
(1/6/2026)

North Carolina
(1/9/2026)

Ohio
(1/13/2026)

Virginia
(1/6/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/1/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/8/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/4/2015

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (11/24/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/01/2025	Cover Page	Report
12/23/2024	Cover Page	Report
10/20/2023	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

Heather E. Hawley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Heather E Hawley's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

OSAIC WEALTH, INC.

ADVANCED GROUP FINANCIAL SERVICES, LLC

OSAIC WEALTH, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/1/2007

SIE

Date: 10/1/2018

Series 7

Date: 8/8/2007

Series 24

Date: 2/4/2015

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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