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Luke W. Ripienski

PROSPERITY CAPITAL ADVISORS
Woodbury, MN
Some features on this profile are disabled
CRD#: 4563278
LR

Professional summary

Luke W Ripienski, CFP®, who also goes by Luke Wayne Ripienski, Luke Ripienski, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Woodbury, Minnesota.

Luke is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Luke has worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Luke Wayne Ripienski | Luke Ripienski

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) FINRA Arbitrator; Not Investment Related; Woodbury, MN; Arbitrator; Listen to both sides of a securities-related dispute, weigh in on the facts and render a final and binding decision. Paid an honorarium, independent contractor. Start Date: 09/01/2020; 1 hrs per month; 1 during trading hours. 2) Mr. Ripienski is a licensed insurance agent. In this capacity, he may offer fixed insurance products including but not to limited life insurance, annuities, disability insurance, long term care insurance and Medicare supplements and receives normal and customary commissions as a result of any sales. In addition, he may receive other compensation such as fixed life trails. Mr. Ripienski spends approx. 1 hr/month during trading hours on this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luke W Ripienski'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

Experience

Current

October 5, 2022 - Present

PROSPERITY CAPITAL ADVISORS

RIA
CRD#: 156480
Woodbury, MN
Past

May 24, 2018 - October 12, 2022

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
LAKE ELMO, MN
Past

May 9, 2018 - October 12, 2022

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
LAKE ELMO, MN
Past

March 25, 2017 - October 19, 2017

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
MINNETONKA, MN
Past

March 25, 2017 - October 19, 2017

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
MINNETONKA, MN
Past

January 15, 2013 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
MINNETONKA, MN
Past

November 19, 2012 - January 2, 2015

NEW ENGLAND SECURITIES

BD
CRD#: 615
MINNEAPOLIS, MN
Past

July 28, 2008 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
MINNETONKA, MN
Past

July 29, 2002 - December 31, 2004

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

July 29, 2002 - December 31, 2004

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

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".
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS

CRD#: 156480 / SEC#: 801-72187

RIA
Registered Investment Advisory firm - (3/22/2011 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
Minnesota
(10/5/2022)
IAR
Ohio
(5/26/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/14/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/2/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/26/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/26/2002
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/17/2017
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/15/2016
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/20/2008
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/15/2008
General Securities Sales Supervisor - Options Module Examination

Current Firm

PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS

CRD#: 156480 / SEC#: 801-72187

RIA
Registered Investment Advisory firm - (3/22/2011 Approved)
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Contact information

Main Address
30400 Detroit Road Suite 201, Westlake, OH 44145
Mailing Address
Phone number
(888) 240-0064
Established
Firm type
Fiscal year end
# of Employees
202

SEC notice filing (42 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PCA PART 2A 2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts14,823
AUM (Assets Under Management)$ 3,684,966,200

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

PROSPERITY CAPITAL ADVISORS

CRD#: 156480Woodbury, MN

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