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HH

Heath D. Heavy

ALBION FINANCIAL GROUP
Salt Lake City, UT 84106
Some features on this profile are disabled
CRD#: 7503640
HH

Professional summary

Heath D Heavy is a registered financial advisor currently at ALBION FINANCIAL GROUP located in Salt Lake City, Utah.

Heath is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Heath has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO and SIE 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 Heath D Heavy'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

August 9, 2024 - Present

ALBION FINANCIAL GROUP

Office #1: 812 East 2100 South, Salt Lake City, UT 84106
RIA
CRD#: 105957
Salt Lake City, UT
Past

April 10, 2023 - July 31, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
ANN ARBOR, MI
Past

February 15, 2023 - April 11, 2023

GENEOS WEALTH MANAGEMENT, INC.

BD
CRD#: 120894
ANN ARBOR, MI
Past

June 16, 2022 - July 23, 2024

CG ADVISORY SERVICES

RIA
CRD#: 110929
Ann Arbor, MI

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".
ALBION FINANCIAL GROUP
ALBION FINANCIAL GROUP
ALBION FINANCIAL GROUP | DBA ALBION FINANCIAL GROUP | ALBION MANAGEMENT GROUP

CRD#: 105957 / SEC#: 801-18270

RIA
Registered Investment Advisory firm - (2/10/1983 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
Utah
(8/9/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/3/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/30/2021
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/15/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/30/2022
Securities Industry Essentials Examination

Current Firm

ALBION FINANCIAL GROUP
ALBION FINANCIAL GROUP
ALBION FINANCIAL GROUP | DBA ALBION FINANCIAL GROUP | ALBION MANAGEMENT GROUP

CRD#: 105957 / SEC#: 801-18270

RIA
Registered Investment Advisory firm - (2/10/1983 Approved)
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Contact information

Main Address
812 East 2100 South, Salt Lake City, UT 84106
Mailing Address
Phone number
(801) 487-3700
Established
Firm type
Fiscal year end
# of Employees
30

SEC notice filing (22 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

ADV NARATIVE 3-28-2024 (3/18/2025)

Regulatory assets under management

Total Number of Accounts2,260
AUM (Assets Under Management)$ 1,858,123,409

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/31/2025
Cover Page
Report
11/01/2023
Cover Page
Report
04/18/2023
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

ALBION FINANCIAL GROUP

ALBION FINANCIAL GROUP

CRD#: 105957Salt Lake City, UT 84106

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