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LH

Luke H. Heiligenthal

49 FINANCIAL
Leawood, KS 66251
Some features on this profile are disabled
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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luke Harrison Heiligenthal'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®
None

Experience

Current

June 14, 2024 - Present

49 FINANCIAL

Office #1: 6550 Sprint Parkway, Leawood, KS 66251
RIA
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 66251
BD
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
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
IAR
Series 65
Date: 12/30/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/26/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 3/25/2021
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/4/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

49 FINANCIAL
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)
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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)

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

DISCLOSURE BROCHURE (7/31/2025)

Regulatory assets under management

Total Number of Accounts2,989
AUM (Assets Under Management)$ 871,379,407

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/26/2025
Cover Page
Report
02/25/2025
Cover Page
Report

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

49 FINANCIAL

49 FINANCIAL

CRD#: 319484Leawood, KS 66251

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