HO
Heidi L. Oakley
KESTRA ADVISORY SERVICES
Tucson, AZ 85712
Some features on this profile are disabled
CRD#: 6368253
HO
Professional summary
Heidi Lee Oakley, who also goes by Heidi Lee Knight, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Tucson, Arizona and KESTRA INVESTMENT SERVICES, LLC located in Tucson, Arizona.
Heidi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Heidi has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Heidi Lee Knight
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.
Business Name: KDI WEALTH MANAGEMENT POSITION: RR NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/01/2024 ADDRESS: 1627 North Swan Road, Suite 125, Tucson AZ 85712, United States DESCRIPTION: RR Business Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/01/2024 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR
CRS (Client Relationship Summary) - RIA
Click below to view Heidi Lee Oakley'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 1, 2024 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 1627 N Swan Rd Suite 125, Tucson, AZ 85712RIA
CRD#: 283330
Tucson, AZ
Current
May 1, 2024 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1627 N Swan Rd Suite 125, Tucson, AZ 85712BD
CRD#: 42046
Tucson, AZ
Past
September 29, 2020 - May 3, 2024
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
TUCSON, AZ
Past
April 7, 2016 - May 3, 2024
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
TUCSON, AZ
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".
KA
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.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
Alaska(5/8/2024)
RR
Arizona(5/1/2024)
IAR
Arizona(5/1/2024)
RR
Arkansas(5/1/2024)
RR
California(5/1/2024)
RR
Colorado(5/1/2024)
RR
Connecticut(5/1/2024)
RR
Delaware(5/1/2024)
RR
District of Columbia(5/7/2024)
RR
Florida(5/7/2024)
RR
Georgia(5/7/2024)
RR
Idaho(5/7/2024)
RR
Illinois(5/1/2024)
RR
Indiana(5/7/2024)
RR
Iowa(5/7/2024)
RR
Kentucky(5/7/2024)
RR
Maryland(5/7/2024)
RR
Massachusetts(5/7/2024)
RR
Michigan(5/7/2024)
RR
Minnesota(5/7/2024)
RR
Missouri(5/7/2024)
RR
Montana(5/1/2024)
RR
Nebraska(5/1/2024)
RR
Nevada(5/7/2024)
RR
New Jersey(5/7/2024)
RR
New Mexico(5/7/2024)
RR
New York(5/1/2024)
RR
North Dakota(5/7/2024)
RR
Ohio(5/1/2024)
RR
Oklahoma(5/7/2024)
RR
Oregon(5/1/2024)
RR
Pennsylvania(5/7/2024)
RR
South Carolina(5/1/2024)
RR
South Dakota(5/7/2024)
RR
Texas(5/1/2024)
IAR
Texas(5/2/2024)
RR
Utah(5/7/2024)
RR
Vermont(5/7/2024)
RR
Virginia(5/7/2024)
RR
Washington(5/7/2024)
RR
West Virginia(5/7/2024)
RR
Wisconsin(5/1/2024)
RR
Wyoming(5/7/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/10/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
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)Upgrade to AdvisorCheck Premium
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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)
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 |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
