SH
Steven Z. Heifetz
KESTRA ADVISORY SERVICES
Denver, CO 80210
Some features on this profile are disabled
CRD#: 2025743
SH
Professional summary
Steven Zachary Heifetz, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Denver, Colorado and KESTRA INVESTMENT SERVICES, LLC located in Denver, Colorado.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Steven has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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: Colorado Feeding Kids Investment Related: No Address: PO Box 101535 Denver CO 80250 Nature of Business: Community/Charitable/Civic Position: board member Start Date: 1/29/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: attend a baord meeting once a quarter and help our with packaging events as often as possible. Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: South Denver Kiwanis Foundation South Denver Kiwanis Club Investment Related: No Address: PO Box 101405 Denver CO 80250 Nature of Business: Community/Charitable/Civic Position: Board member Start Date: 10/2/2014 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Attend board meetings Business Name: Steve Heifetz, CFP and Sindrich & Associates Investment Related: Yes Address: 1490 S. Pearl St. Denver CO 80210 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position: Owner / sole propietor Start Date: 1/5/1998 Hours per month: 81% - 90% (129 - 144 hours) Hours per month during trading hours: 71% - 80% (99 - 112 hours) Duties: Financial Planning Securities Insurance products Business Name: SOUTH DENVER KIWANIS FOUNDATION POSITION: Board member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 10/02/2014 ADDRESS: PO Box 101405, Denver CO 80250 DESCRIPTION: Attend board meetings. Business Name: STEVE HEIFETZ POSITION: maintenance person NATURE: property maintenance INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 2 START DATE: 06/03/2024 ADDRESS: 894 shadow mtn dr, highlands ranch CO 80126 DESCRIPTION: Painting interior and exteriors. Caulking and patching walls. Regrouting tile. Changing light bulbs. Minor plumbing repairs. Minor building repairs.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Zachary Heifetz'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®
CFP®
Start date: 1993
Experience
Current
April 19, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 1490 S. Pearl, Denver, CO 80210RIA
CRD#: 283330
Denver, CO
Current
June 17, 1999 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1490 S. Pearl, Denver, CO 80210BD
CRD#: 42046
Denver, CO
Past
December 31, 2001 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
DENVER, CO
Past
January 5, 1998 - June 15, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
April 24, 1990 - December 12, 1997
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 24, 1990 - December 12, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Colorado(6/17/1999)
IAR
Colorado(4/19/2016)
RR
Illinois(1/31/2001)
RR
Massachusetts(10/18/2016)
RR
Texas(6/17/1999)
IAR
Texas(7/26/2023)
RR
Washington(2/4/2008)
RR
Wisconsin(6/17/1999)
Exams
State Security Law Exam
State Security Law Exam
General 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.
