LH
Luke H. Heiligenthal
49 FINANCIAL
Leawood, KS 66251
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CRD#: 7342827
LH
Professional summary
Luke Harrison Heiligenthal, who also goes by Luke Heiligenthal, is a registered financial advisor currently at 49 FINANCIAL located in Leawood, Kansas and OAKWOOD CAPITAL SECURITIES, INC. located in Rogers, Arkansas.
Luke is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Luke has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Luke Heiligenthal
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) 49 Wealth Management; Investment Related; 6550 Sprint Parkway, Leawood, KS 66251; RIA; Financial Advisor; Start 6/2024; 160 Hrs/Mth; 160 During Securities Trading Hours; Advisor Upon Passing Exams (2) Fixed Insurance; Investment Related; 6550 Sprint Parkway, Leawood, KS 66251; Fixed / Traditional Insurance; Agent; Start 3/2021; 10 Hrs/Mth; 10 During Securities Trading Hours; Sales of Fixed/Traditional Insurance Products (3) Oakwood Capital Securities; investment related; 6550 Sprint Parkway, Leawood, KS 66251; Registered representative work with broker dealer for variable annuities; Using broker-dealer tools in the best interest of clients; Start date: 2024-01-01; 35 Hours per month during trading hours; 20 Hours per month outside trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Luke Harrison Heiligenthal's 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®
NoneExperience
Current
June 14, 2024 - Present
49 FINANCIAL
Office #1: 6550 Sprint Parkway, Leawood, KS 66251RIA
CRD#: 319484
Leawood, KS
Current
January 11, 2024 - Present
OAKWOOD CAPITAL SECURITIES, INC.
Office #1: 5001 Founders Dr., Rogers, AR 72758Office #2: 6550 Sprint Pkwy Suite 200, Leawood, KS 66251BD
CRD#: 21000
Rogers, AR
Past
March 25, 2021 - January 10, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Rogers, AR
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".
49 FINANCIAL
49 FINANCIAL | GLADIATOR ADVISORS, LLC | 49 WEALTH MANAGEMENT, LLC
CRD#: 319484 / SEC#: 801-123687
RIA
Registered Investment Advisory firm - (9/8/2022 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.RR
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
RR
Alabama(1/11/2024)
RR
Arizona(1/11/2024)
RR
Arkansas(1/11/2024)
RR
Colorado(11/20/2024)
RR
Kansas(4/16/2024)
IAR
Kansas(6/14/2024)
RR
Minnesota(1/11/2024)
RR
Mississippi(1/11/2024)
RR
Missouri(1/11/2024)
RR
New York(1/11/2024)
RR
Ohio(1/11/2024)
RR
Pennsylvania(1/11/2024)
RR
South Dakota(11/6/2024)
RR
Texas(1/11/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 3/25/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
49 FINANCIAL
49 FINANCIAL | GLADIATOR ADVISORS, LLC | 49 WEALTH MANAGEMENT, LLC
CRD#: 319484 / SEC#: 801-123687
RIA
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Contact information
Main Address
3711 S Mopac Expy Suite 150, Austin, TX 78746
Mailing Address
Phone number
(214) 563-1190
Established
Firm type
Fiscal year end
# of Employees
167
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,989 |
| AUM (Assets Under Management) | $ 871,379,407 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/25/2025 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
49 FINANCIAL
CRD#: 319484Leawood, KS 66251TRUST BUT VERIFY
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