Benjamin F. Gurley

HEARTWOOD WEALTH ADVISORS

RICHMOND, VA 23235

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CRD#: 6531042

Professional summary

Benjamin Fowler Gurley, CFP®, who also goes by Ben Gurley, Benjamin F Gurley, is a registered financial advisor currently at HEARTWOOD WEALTH ADVISORS, LLC located in Richmond, Virginia and PURSHE KAPLAN STERLING INVESTMENTS located in Richmond, Virginia.

Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Benjamin has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 79 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ben Gurley | Benjamin F Gurley

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) HEARTWOOD WEALTH ADVISORS, LLC; INVESTMENT RELATED; At Registered Location; RIA; DIRECTOR, OWNER; 09/06/2016; 120 HRS PER MONTH; 5 HRS DURING TRADING; FINANCIAL ADVISOING & NORMAL RIA DUTIES. (2) PKS Financial; Investment Related; 80 State Street, Albany, NY 12207; Fixed/Traditional Insurance; Title- Agent; Start Date- 03/2021; 4 Hrs/Mth; 4 Hrs During Securities Trading Hours; Sales of Fixed/Traditional Insurance Products. (3) Fixed Insurance; Investment Related; At Registered Location; Fixed/Traditional Insurance; Position- Agent; Start- 9/6/2016; 5 Hrs/Mth; .5 During Securities Trading Hours; Sales of Fixed/Traditional Insurance Products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Fowler Gurley'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

June 7, 2019 - Present

HEARTWOOD WEALTH ADVISORS, LLC

Office #1: 9020 Stony Point Parkway Suite 325, Richmond, VA 23235

RIA

CRD#: 300273

RICHMOND, VA

Current

March 2, 2021 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 9020 Stony Point Pkwy Suite 325, Richmond, VA 23235

CRD#: 35747

Richmond, VA

Past

October 27, 2016 - June 5, 2019

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

RICHMOND, VA

Past

October 12, 2016 - June 5, 2019

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

RICHMOND, VA

Past

August 5, 2015 - August 5, 2016

HARRIS WILLIAMS

CRD#: 113930

RICHMOND, VA

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".

HEARTWOOD WEALTH ADVISORS, LLC

CRD#: 300273 / SEC#: 801-114721

RIA

Registered Investment Advisory firm - (2/21/2019 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
(3/2/2021)

California
(3/2/2021)

Colorado
(3/2/2021)

Connecticut
(3/2/2021)

Florida
(3/2/2021)

Georgia
(10/3/2023)

Massachusetts
(3/15/2021)

Minnesota
(3/2/2021)

New Jersey
(3/15/2021)

North Carolina
(3/2/2021)

Ohio
(3/3/2021)

South Carolina
(3/2/2021)

IAR

Texas
(12/5/2019)

IAR

Virginia
(6/7/2019)

Virginia
(3/2/2021)

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 65

Date: 10/27/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/19/2015

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: 10/12/2016

General Securities Representative Examination

General Industry/Product Exam

Series 79

Date: 8/5/2015

Investment Banking Registered Representative Examination

SRO Registrations

FINRA

Current Firm

HEARTWOOD WEALTH ADVISORS, LLC

CRD#: 300273 / SEC#: 801-114721

RIA

Registered Investment Advisory firm - (2/21/2019 Approved)

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Contact information

Main Address

9020 Stony Point Parkway Suite 325, Richmond, VA 23235

Mailing Address

Phone number

(804) 269-8711

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM ADVISORY BROCHURE (5/20/2025)

Regulatory assets under management

Total Number of Accounts	1,709
AUM (Assets Under Management)	$ 1,302,509,037

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/29/2025	Cover Page	Report
09/17/2024	Cover Page	Report
09/18/2023	Cover Page	Report
10/24/2022	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

Benjamin F. Gurley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Fowler Gurley's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

HARRIS WILLIAMS

Primary Firm SEC Registration

HEARTWOOD WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/27/2016

Series 63

Date: 8/19/2015

SIE

Date: 10/1/2018

Series 7

Date: 10/12/2016

Series 79

Date: 8/5/2015

FINRA

Current Firm

HEARTWOOD WEALTH ADVISORS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

HEARTWOOD WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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