Luke Rutledge

WESTEND ADVISORS

Santa Monica, CA

Some features on this profile are disabled

CRD#: 6505011

Professional summary

Luke Rutledge, CIMA®, who also goes by Luke M Rutledge, Luke Mario Rutledge, is a registered financial advisor currently at WESTEND ADVISORS, LLC located in Santa Monica, California and VICTORY CAPITAL SERVICES, INC. located in Charlotte, North Carolina.

Luke is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Luke has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Luke M Rutledge | Luke Mario Rutledge

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 Luke Rutledge'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

November 14, 2022 - Present

WESTEND ADVISORS, LLC

RIA

CRD#: 133279

Santa Monica, CA

Current

November 14, 2022 - Present

VICTORY CAPITAL SERVICES, INC.

Office #1: 1001 Morehead Square Drive Suite 600, Charlotte, NC 28203

CRD#: 37059

Charlotte, NC

Past

August 3, 2018 - October 27, 2022

MORGAN STANLEY

RIA

CRD#: 149777

New York, NY

Past

July 30, 2018 - October 27, 2022

MORGAN STANLEY

CRD#: 149777

New York, NY

Past

September 6, 2017 - July 12, 2018

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEW YORK, NY

Past

August 31, 2016 - September 12, 2017

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

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".

WESTEND ADVISORS, LLC

SOUTHVIEW PARTNERS | WESTEND ADVISORS, LLC | SOUTHVIEW PARTNERS, LLC

CRD#: 133279 / SEC#: 801-63626

RIA

Registered Investment Advisory firm - (3/18/2005 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.

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

Alabama
(3/13/2023)

Alaska
(12/2/2022)

Arizona
(11/14/2022)

Arkansas
(11/14/2022)

California
(11/14/2022)

IAR

California
(11/14/2022)

Colorado
(11/14/2022)

Connecticut
(11/14/2022)

Delaware
(11/14/2022)

District of Columbia
(3/13/2023)

Florida
(3/13/2023)

Georgia
(3/13/2023)

Hawaii
(11/14/2022)

Idaho
(11/14/2022)

Illinois
(3/13/2023)

Indiana
(3/13/2023)

Iowa
(3/13/2023)

Kansas
(3/13/2023)

Kentucky
(3/13/2023)

Louisiana
(3/13/2023)

Maine
(11/14/2022)

Maryland
(3/13/2023)

Massachusetts
(11/14/2022)

Michigan
(3/13/2023)

Minnesota
(3/13/2023)

Mississippi
(3/13/2023)

Missouri
(3/13/2023)

Montana
(11/14/2022)

Nebraska
(3/13/2023)

Nevada
(11/14/2022)

New Hampshire
(11/14/2022)

New Jersey
(11/14/2022)

New Mexico
(11/14/2022)

New York
(11/14/2022)

IAR

North Carolina
(11/21/2022)

North Carolina
(3/13/2023)

North Dakota
(3/13/2023)

Ohio
(3/13/2023)

Oklahoma
(3/13/2023)

Oregon
(11/14/2022)

Pennsylvania
(11/14/2022)

Puerto Rico
(3/13/2023)

Rhode Island
(11/14/2022)

South Carolina
(3/13/2023)

South Dakota
(3/13/2023)

Tennessee
(3/13/2023)

Texas
(3/13/2023)

Utah
(11/14/2022)

Vermont
(11/14/2022)

Virginia
(3/13/2023)

Washington
(11/14/2022)

West Virginia
(3/13/2023)

Wisconsin
(3/13/2023)

Wyoming
(11/14/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/3/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/12/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/31/2016

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

WESTEND ADVISORS, LLC

SOUTHVIEW PARTNERS | WESTEND ADVISORS, LLC | SOUTHVIEW PARTNERS, LLC

CRD#: 133279 / SEC#: 801-63626

RIA

Registered Investment Advisory firm - (3/18/2005 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1001 Morehead Square Drive Suite 600, Charlotte, NC 28203

Mailing Address

Phone number

(704) 556-9300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WESTEND ADVISORS LLC FORM ADV PART 2B 1.30.2026 (1/30/2026)

WESTEND ADVISORS LLC FORM ADV PART 2A 1.30.2026 (1/30/2026)

Regulatory assets under management

Total Number of Accounts	4,149
AUM (Assets Under Management)	$ 1,868,015,699

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Luke Rutledge

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luke Rutledge's CRS (Customer Relationship Summary).

Certified licenses

Experience

VICTORY CAPITAL SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

WESTEND ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/3/2018

Series 63

Date: 9/12/2016

SIE

Date: 10/1/2018

Series 7

Date: 8/31/2016

FINRA

Current Firm

WESTEND ADVISORS, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WESTEND ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors