Brad K. Heindel

46 PEAKS INVESTMENT ADVISORY GROUP

Newtown, PA 18940

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CRD#: 3078426

Professional summary

Brad Kenneth Heindel, CFP® is a registered financial advisor currently at 46 PEAKS INVESTMENT ADVISORY GROUP located in Newtown, Pennsylvania.

Brad is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Brad has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brad Kenneth Heindel'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®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

February 14, 2020 - Present

46 PEAKS INVESTMENT ADVISORY GROUP

Office #1: 760 Newtown Yardley Road Suite 114, Newtown, PA 18940

RIA

CRD#: 306902

Newtown, PA

Past

April 2, 2012 - February 10, 2020

M HOLDINGS SECURITIES, INC.

CRD#: 43285

PRINCETON, NJ

Past

May 2, 2005 - April 12, 2012

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

PRINCETON, NJ

Past

May 2, 2005 - April 12, 2012

EQUITABLE ADVISORS, LLC

CRD#: 6627

PRINCETON, NJ

Past

April 21, 2005 - March 4, 2020

KB FINANCIAL PARTNERS, LLC

RIA

CRD#: 119166

PRINCETON, NJ

Past

March 30, 2004 - March 31, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

LAWRENCEVILL, NJ

Past

March 30, 2004 - March 31, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 3, 2003 - January 30, 2004

SMH CAPITAL ADVISORS LLC

RIA

CRD#: 108344

EXTON, PA

Past

December 3, 2001 - January 15, 2004

SANDERS MORRIS LLC

CRD#: 20580

HOUSTON, TX

Past

April 10, 2001 - December 3, 2001

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

July 24, 1998 - March 2, 2001

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

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".

46 PEAKS INVESTMENT ADVISORY GROUP

46 PEAKS INVESTMENT ADVISORY GROUP | 46 PEAKS LLC

CRD#: 306902 / SEC#: 801-117945

RIA

Registered Investment Advisory firm - (1/10/2020 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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(2/14/2020)

IAR

Texas
(9/9/2022)

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 65

Date: 6/6/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/2/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/9/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/25/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/23/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/22/2005

General Securities Principal Examination

Current Firm

46 PEAKS INVESTMENT ADVISORY GROUP

46 PEAKS INVESTMENT ADVISORY GROUP | 46 PEAKS LLC

CRD#: 306902 / SEC#: 801-117945

RIA

Registered Investment Advisory firm - (1/10/2020 Approved)

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Contact information

Main Address

760 Newtown Yardley Road Suite 114, Newtown, PA 18940

Mailing Address

Phone number

(215) 497-8310

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

46 PEAKS INVESTMENT ADVISORY GROUP, LLC ADV BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	402
AUM (Assets Under Management)	$ 212,315,745

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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Brad K. Heindel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brad Kenneth Heindel's CRS (Customer Relationship Summary).

Certified licenses

Experience

M HOLDINGS SECURITIES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

KB FINANCIAL PARTNERS, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

SMH CAPITAL ADVISORS LLC

SANDERS MORRIS LLC

IFG NETWORK SECURITIES, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

46 PEAKS INVESTMENT ADVISORY GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 6/6/2003

Series 63

Date: 9/2/1998

SIE

Date: 10/1/2018

Series 31

Date: 7/9/2004

Series 7

Date: 6/25/2001

Series 6

Date: 7/23/1998

Series 24

Date: 12/22/2005

Current Firm

46 PEAKS INVESTMENT ADVISORY GROUP

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

46 PEAKS INVESTMENT ADVISORY GROUP

TRUST BUT VERIFY

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