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Karl Heckenberg

Member, Board of Directors CCM at Cresset Asset Management

No current adviser or broker registrationSEC record checked 17 October 2026

5
Past adviser firms
8
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Karl Heckenberg is Member, Board of Directors CCM of Cresset Asset Management, LLC, a Chicago investment adviser managing $78.9B. Karl Heckenberg has past investment-adviser registrations through 5 firms and has passed 8 licensing exams.

Role at Cresset Asset Management

Title on Schedule A
Member, Board of Directors CCM
Control
Karl Heckenberg is not a control person of Cresset Asset Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Karl Heckenberg has held the filed role since December 2025.

The firm

Cresset Asset Management, LLC
Chicago, IL

Form ADV filed 13 August 2026

$78.9B AUM4,911 clients187 advisers17 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2017
  2. J.j.b. Hilliard, W.l. Lyons, LLC
    – · 2 years
    Louisville, KY · Adviser representative · Firm CRD 453
  3. Passed Series 9 and Series 10 · 2012
  4. Charles Schwab & Co., Inc.
    – · 4 years
    Louisville, KY · Adviser representative · Firm CRD 5393
  5. Amerivest Investment Management, LLC
    – · 1 year
    Washington, DC · Adviser representative · Firm CRD 111514
  6. Passed Series 7, Series 66 and Series 24 · 2010
  7. Td Ameritrade, Inc.
    – · 1 year
    Washington, DC · Adviser representative · Firm CRD 7870
  8. Passed Series 3 · 2001
  9. A. G. Edwards & Sons, Inc.
    – · 4 years
    Jacksonville, FL · Adviser representative · Firm CRD 4
  10. Passed Series 63 · 1999

Registrations and exams

No current adviser or broker registration. Karl Heckenberg has passed 8 qualifying exams.

Examinations

Series 6616 September 2010
Name
Uniform Combined State Law Examination
Series 6322 July 1999
Name
Uniform Securities Agent State Law Examination
Series 1017 February 2012
Name
General Securities Sales Supervisor - General Module Examination
Series 927 January 2012
Name
General Securities Sales Supervisor - Options Module Examination
Series 241 October 2010
Name
General Securities Principal Examination
SIE22 August 2017
Name
Securities Industry Essentials Examination
Series 72 September 2010
Name
General Securities Representative Examination
Series 35 June 2001
Name
National Commodity Futures Examination

Individual record

Full name
Karl Henry Heckenberg
CRD
3234336
Firm
Cresset Asset Management, LLC
Registration status
No current adviser or broker registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Karl Heckenberg work?

Karl Heckenberg has been Member, Board of Directors CCM of Cresset Asset Management, LLC since December 2025.

Source: Form ADV, Schedule A, filed 13 August 2026

Does Karl Heckenberg have a current investment-adviser registration?

Karl Heckenberg has no current investment-adviser or broker registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Karl Heckenberg passed?

Karl Heckenberg has passed 8 licensing exams: the Series 63, Series 3, Series 7, Series 66, Series 24, Series 9, Series 10 and SIE. The earliest, the Series 63, was passed in July 1999.

Source: IAPD individual record, checked 17 October 2026

Where was Karl Heckenberg previously registered as an investment adviser?

Karl Heckenberg has past investment-adviser registrations through J.j.b. Hilliard, W.l. Lyons, LLC, July 2015 to August 2017; Charles Schwab & Co., Inc., January 2012 to July 2015; Amerivest Investment Management, LLC, October 2010 to December 2011; Td Ameritrade, Inc., September 2010 to December 2011; A. G. Edwards & Sons, Inc., October 1999 to August 2003, across 5 firms.

Source: IAPD individual record, checked 17 October 2026

Leadership at Cresset Asset Management

Sources

  1. IAPD individual record, CRD 3234336. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Cresset Asset Management, LLC, filed 13 August 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Karl Heckenberg or Cresset Asset Management, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.