Kristopher A. Heig

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CRD#: 3017920

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.

Kristopher Alan Heig, who also goes by Kris Alan Heig, was a registered financial professional .

Kristopher is a previously registered financial professional and started their career in finance in 1998. Kristopher had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kris Alan Heig

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 8, 2024 - January 31, 2025

ASHTON THOMAS PRIVATE WEALTH

RIA

CRD#: 153902

SCOTTSDALE, AZ

Past

January 17, 2023 - October 4, 2023

ORION PORTFOLIO SOLUTIONS, LLC

RIA

CRD#: 107975

OMAHA, NE

Past

July 1, 2022 - October 4, 2023

BRINKER CAPITAL SECURITIES, LLC

CRD#: 38123

BERWYN, PA

Past

January 30, 2020 - January 6, 2023

ORION PORTFOLIO SOLUTIONS, LLC

RIA

CRD#: 125446

OMAHA, NE

Past

April 10, 2018 - December 31, 2019

ORION PORTFOLIO SOLUTIONS, LLC

RIA

CRD#: 107975

OMAHA, NE

Past

April 6, 2018 - December 3, 2019

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

OMAHA, NE

Past

January 19, 2017 - April 2, 2018

CWM, LLC

RIA

CRD#: 155344

Omaha, NE

Past

January 19, 2017 - April 2, 2018

CETERA WEALTH SERVICES, LLC

CRD#: 13572

OMAHA, NE

Past

August 17, 2007 - July 2, 2015

TD AMERITRADE, INC.

RIA

CRD#: 7870

OMAHA, NE

Past

August 17, 2007 - July 2, 2015

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

OMAHA, NE

Past

April 22, 2006 - July 2, 2015

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

December 4, 2002 - August 18, 2003

ICAPITAL MARKETS LLC

CRD#: 5209

OMAHA, NE

Past

September 11, 2002 - October 25, 2002

DATEK ONLINE FINANCIAL SERVICES LLC

CRD#: 36807

JERSEY CITY, NJ

Past

January 4, 2001 - April 22, 2006

TD AMERITRADE CLEARING, INC.

CRD#: 5633

OMAHA, NE

Past

May 29, 1998 - December 31, 2001

J.P. SECURITIES, INC.

CRD#: 36559

BELLEVUE, NE

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".

ASHTON THOMAS PRIVATE WEALTH

CRD#: 153902 / SEC#: 801-71512

RIA

Registered Investment Advisory firm - (6/15/2010 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/14/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/12/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/28/2004

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/9/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 12/12/2000

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/27/2000

General Securities Principal Examination

Current Firm

ASHTON THOMAS PRIVATE WEALTH

CRD#: 153902 / SEC#: 801-71512

RIA

Registered Investment Advisory firm - (6/15/2010 Approved)

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Contact information

Main Address

8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260

Mailing Address

Phone number

(602) 732-4745

Established

Firm type

Fiscal year end

# of Employees

114

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A, APPENDIX 1 WRAP FEE PROGRAM BROCHURE (5/5/2025)

ADV PART 2A FIRM BROCHURE (5/5/2025)

Regulatory assets under management

Total Number of Accounts	6,733
AUM (Assets Under Management)	$ 4,051,333,740

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

Kristopher A. Heig

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ORION PORTFOLIO SOLUTIONS, LLC

BRINKER CAPITAL SECURITIES, LLC

ORION PORTFOLIO SOLUTIONS, LLC

ORION PORTFOLIO SOLUTIONS, LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

CWM, LLC

CETERA WEALTH SERVICES, LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

ICAPITAL MARKETS LLC

DATEK ONLINE FINANCIAL SERVICES LLC

TD AMERITRADE CLEARING, INC.

J.P. SECURITIES, INC.

Primary Firm SEC Registration

ASHTON THOMAS PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 8/14/2007

Series 63

Date: 3/12/1998

SIE

Date: 10/1/2018

Series 55

Date: 4/28/2004

Series 7

Date: 4/9/1998

Series 4

Date: 12/12/2000

Series 24

Date: 11/27/2000

Current Firm

ASHTON THOMAS PRIVATE WEALTH

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASHTON THOMAS PRIVATE WEALTH

TRUST BUT VERIFY

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