Luke M. Collins
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Luke Malte Collins was a registered financial professional .
Luke is a previously registered financial professional and started their career in finance in 1997. Luke had worked at 18 firms and has passed the Series 63, Series 65, Series 66, Series 3, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2024 - December 16, 2025
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
March 7, 2024 - May 10, 2024
MEKETA CAPITAL, LLC
March 4, 2024 - May 14, 2024
FORESIDE FINANCIAL SERVICES, LLC
September 22, 2023 - December 31, 2023
FORESIDE FUND SERVICES, LLC
September 7, 2023 - December 31, 2023
FORUM CAPITAL ADVISORS LLC
October 11, 2022 - April 20, 2023
BLUE DIAMOND SECURITIES OF AMERICA LLC
October 25, 2021 - April 6, 2022
GREAT POINT CAPITAL LLC
January 28, 2020 - May 22, 2023
PROTEUS, LLC
February 19, 2014 - October 28, 2015
ATLANTIC - PACIFIC CAPITAL, INC.
June 23, 2011 - October 23, 2013
GUGGENHEIM INVESTMENT ADVISORS, LLC
June 23, 2011 - October 23, 2013
GUGGENHEIM INVESTOR SERVICES, LLC
June 17, 2010 - May 19, 2011
AMG FUNDS LLC
August 7, 2008 - April 19, 2011
AMG DISTRIBUTORS, INC.
January 2, 2008 - June 18, 2010
AMG DISTRIBUTORS, INC.
March 31, 2006 - December 5, 2007
PROMANAGE, LLC
April 7, 2004 - September 8, 2005
BANC ONE SECURITIES CORPORATION
April 6, 2004 - September 8, 2005
BANC ONE SECURITIES CORPORATION
July 13, 2001 - December 18, 2003
UBS SECURITIES LLC
June 28, 1999 - July 26, 2001
UBS FINANCIAL SERVICES INC.
January 9, 1997 - September 30, 1997
ARK FUNDS DISTRIBUTORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
CRD#: 8478 / SEC#: 801-63564, 8-25452
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINANCIAL SERVICES HOLDINGS, LLC | SOLE SHAREHOLDER | |
| COKER, KAREN LE'ELLEN | CHIEF RISK OFFICER | 2731928 |
| MUELLER, CHRISTOPHER BRIAN | CHIEF OPERATIONS OFFICER | 2098597 |
| PARKER, RICHARD WILSON | CEO | 5497397 |
| REYNOLDS, MATTHEW MARK | PRESIDENT / FINOP / PFO / POO/CCO | 4077413 |
| RUDNICK, REGINA MARY | HEAD OF ADVISOR SERVICES | 2373530 |
| TAYLOR, CHRISTIAN GABRIEL | CHIEF COMPLIANCE OFFICER | 5462381 |
| TITAK, JAMES JOHN | CHAIRMAN OF THE BOARD | 1008441 |
Disclosures
| Regulatory Event | 3 |
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.
