Garrett Headley, financial advisor Lexington KY
86 score

Garrett Headley

CRD Number: 1056929
Current Firm: Independent Financial Partners

Garrett Headley (CRD# 1056929) is an Investment Advisor Representative working at Independent Financial Partners in Lexington, KY and has over 34 years of experience in the finance industry. Garrett Headley has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Lpl Financial LLC Lexington, KY Dec 2013 - Current 3
Independent Financial Partners Lexington, KY Dec 2013 - Current 3
Comprehensive Asset Management & Servicing Parsippany, NJ Dec 2009 - Dec 2013 4
Morgan Stanley Smith Barney Lexington, KY Jun 2009 - Nov 2009 < 1
Citigroup Global Markets Inc. Lexington, KY Jul 1993 - Nov 2009 16
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1982
S65 NASAA Investment Advisors Law Examination Mar 1992
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Garrett L. Headley
Phone Number: 813-341-0960
Registered State(s):
  • KY
By the Numbers
  • Total Assets Under Management
    4,348
    MILLIONS
  • Total Number of Accounts
    24,542
    ACCOUNTS
  • Average Account Value
    $177,153
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
86

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