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LC

Luke M. Collins

THURSTON, SPRINGER, MILLER, HERD & TITAK
Indianapolis, IN 46240
Some features on this profile are disabled
CRD#: 2829177
LC

Professional summary

Luke Malte Collins is a registered financial professional currently at THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. located in Indianapolis, Indiana.

Luke is registered as a RR (Registered Representative) and started their career in finance in 1997. Luke has worked at 18 firms and has passed the Series 63, Series 65, Series 66, Series 3, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
1) Meketa Capital, LLC; Investment Related; Brookline, MA; Business Development; Senior Vice President; 80 hours per month; Start Date 1/2024; promoting registered funds to Financial Intermediaries 2) Primark Capital, LLC; Investment Related; Denver, CO; Business Development; Business Development; 80 hours per month; Start Date 6/2023; Promoting registered funds to Financial Intermediaries 3) Bristal Lane Group, LLC; Non Investment Related; Indianapolis, IN; Business Development; Consultant; 20 hours per month; Start Date 1/2019; Refer consulting opportunities to this tax, accounting and compliance consulting firm

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Luke Malte Collins'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®
None

Experience

Current

August 27, 2024 - Present

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

Office #1: 9000 Keystone Crossing Suite 700, Indianapolis, IN 46240
BD
CRD#: 8478
Indianapolis, IN
Past

March 7, 2024 - May 10, 2024

MEKETA CAPITAL, LLC

RIA
CRD#: 328303
Brookline, MA
Past

March 4, 2024 - May 14, 2024

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
PORTLAND, ME
Past

September 22, 2023 - December 31, 2023

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

September 7, 2023 - December 31, 2023

FORUM CAPITAL ADVISORS LLC

RIA
CRD#: 297582
Brookline, MA
Past

October 11, 2022 - April 20, 2023

BLUE DIAMOND SECURITIES OF AMERICA LLC

BD
CRD#: 158821
NEW YORK, NY
Past

October 25, 2021 - April 6, 2022

GREAT POINT CAPITAL LLC

BD
CRD#: 114203
CHICAGO, IL
Past

January 28, 2020 - May 22, 2023

PROTEUS, LLC

RIA
CRD#: 164085
Brookline, MA
Past

February 19, 2014 - October 28, 2015

ATLANTIC - PACIFIC CAPITAL, INC.

BD
CRD#: 38356
CHICAGO, IL
Past

June 23, 2011 - October 23, 2013

GUGGENHEIM INVESTMENT ADVISORS, LLC

RIA
CRD#: 108263
CHICAGO, IL
Past

June 23, 2011 - October 23, 2013

GUGGENHEIM INVESTOR SERVICES, LLC

BD
CRD#: 30096
CHICAGO, IL
Past

June 17, 2010 - May 19, 2011

AMG FUNDS LLC

RIA
CRD#: 153456
STAMFORD, CT
Past

August 7, 2008 - April 19, 2011

AMG DISTRIBUTORS, INC.

BD
CRD#: 27314
STAMFORD, CT
Past

January 2, 2008 - June 18, 2010

AMG DISTRIBUTORS, INC.

RIA
CRD#: 27314
CHICAGO, IL
Past

March 31, 2006 - December 5, 2007

PROMANAGE, LLC

RIA
CRD#: 133357
CHICAGO, IL
Past

April 7, 2004 - September 8, 2005

BANC ONE SECURITIES CORPORATION

RIA
CRD#: 16999
CHICAGO, IL
Past

April 6, 2004 - September 8, 2005

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

July 13, 2001 - December 18, 2003

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

June 28, 1999 - July 26, 2001

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

January 9, 1997 - September 30, 1997

ARK FUNDS DISTRIBUTORS, LLC

BD
CRD#: 17685
PORTLAND, ME

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Indiana
(8/29/2024)
RR
Massachusetts
(8/27/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/10/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/14/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 8/22/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 11/18/2015
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/6/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/8/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/30/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TS
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | TRILOGY WEALTH MANAGEMENT | THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. INSURANCE AGENCY | THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. | THURSTON, SPRINGER, MILLER & HERD, INC. | THURSTON, SHUMAKER, MILLER & BURKE, INCORPORATED | THURSTON, MILLER & BURKE, INC. | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THE BARTHEL AGENCY | TARGETED RETIREMENT STRATEGIES | SPRAWLS FINANCIAL | SPENCER FINANCIAL STRATEGIES | RETIREMENT AND ESTATE PLANNING SERVICES | ONTRACK CAPITAL MANAGEMENT | LIBERTY CONSULTING | LAVELLE FINANCIAL | JKS INVESTMENT MANAGEMENT OF THURSTON SPRINGER | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | DAMER WEALTH MANAGEMENT | CRAVENS, LLC | COHEN CAPITAL MANAGEMENT | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BCT FINANCIAL | BAYLEY INVESTMENT GROUP | BALDASSARI ADVISORY | AMERICAN PENSION ADVISORS

CRD#: 8478 / SEC#: 801-63564, 8-25452

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
9000 Keystone Crossing Suite 700, Indianapolis, IN 46240
Mailing Address
9000 Keystone Crossing Suite 700, Indianapolis, IN 46240-2142
Phone number
(317) 581-4000
Established
Indiana since 09/12/1980
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
FINANCIAL SERVICES HOLDINGS, LLCSOLE SHAREHOLDER
COKER, KAREN LE'ELLENCHIEF RISK OFFICER2731928
MUELLER, CHRISTOPHER BRIANCHIEF OPERATIONS OFFICER2098597
PARKER, RICHARD WILSONCEO5497397
REYNOLDS, MATTHEW MARKPRESIDENT / FINOP / PFO / POO/CCO4077413
RUDNICK, REGINA MARYHEAD OF ADVISOR SERVICES2373530
TAYLOR, CHRISTIAN GABRIELCHIEF COMPLIANCE OFFICER5462381
TITAK, JAMES JOHNCHAIRMAN OF THE BOARD1008441

Disclosures

Regulatory Event3

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.

Company Information

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

CRD#: 8478Indianapolis, IN 46240

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