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.
1)04/2023 - EVANGELISTA & ASSOCIATES - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 02/2022 - 160 Hr/Mth 2) 04/13/2023 - Capital Asset Advisory Services, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Admin Associate- Start Date 06/16/2022 - 160 Hours Per Month/ 160 Hours During Securities Trading - I provide administrative support to Capital Asset Advisory Services, LLC, an independent investment advisor firm. I started this business activity in 06/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3) 04/13/2023 - EVANGELISTA & ASSOCIATES - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Admin Associate- Start Date 02/11/2022 - 160 Hours Per Month/ 8 Hours During Securities Trading - Time Spent 100% 4) 04/13/2023 - CG ADVISORY SERVICES - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Admin Associate - Start Date 06/16/2022 - 160 Hours Per Month/ 160 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Heath D Heavy'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
August 9, 2024 - Present
ALBION FINANCIAL GROUP
Office #1: 812 East 2100 South, Salt Lake City, UT 84106RIA
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 | 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
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/15/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
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)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
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)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,260 |
| AUM (Assets Under Management) | $ 1,858,123,409 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/31/2025 | ||
| 11/01/2023 | ||
| 04/18/2023 |
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
CRD#: 105957Salt Lake City, UT 84106TRUST BUT VERIFY
Monitor Heath Heavy
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
