KESTRA ADVISORY SERVICES, LLC
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KESTRA ADVISORY SERVICES, LLC
(CRD# 283330)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Austin, TX.
The SEC approved the firm to operate as an RIA in
Dec 1998.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$21.7 Billion,
with discretion over
68%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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KESTRA ADVISORY SERVICES, LLC
also reported in
Mar 2019
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1291
employees,
all of whom perform advisory functions.
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A total of 520 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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KESTRA ADVISORY SERVICES, LLC has one or more disclosure events currently on file with the SEC.
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KESTRA ADVISORY SERVICES, LLC has Notice Filings with the following State Securities Authorities:
AK-Jul 2016, AL-Jun 1998, AR-Oct 1997, AZ-Mar 2010, CA-Dec 1998
, CO-Feb 1999, CT-Feb 1999, DC-May 2001, DE-Jul 2016, FL-Dec 1997
, GA-Jul 2016, HI-Mar 2001, IA-Apr 1999, ID-Mar 2001, IL-Oct 1997
, IN-Feb 1998, KS-Dec 1998, KY-Mar 1998, LA-Jul 2016, MA-Jul 2016
, MD-Jan 1998, ME-Mar 1998, MI-Dec 1998, MN-Jul 2016, MO-Feb 1999
, MS-Feb 1999, MT-Feb 1999, NC-Jul 2016, ND-Jul 2016, NE-Feb 1998
, NH-Jul 2016, NJ-Apr 1997, NM-Jul 2016, NV-Jan 2001, NY-Jul 2016
, OH-Apr 1999, OK-Mar 1998, OR-Feb 1998, PA-Aug 2006, PR-Jul 2016
, RI-Sep 1997, SC-Jul 2016, SD-Mar 2001, TN-Feb 1999, TX-Jan 1997
, UT-Apr 1999, VA-Feb 2001, VI-Jul 2016, VT-Jul 2016, WA-Jul 2016
, WI-Jan 1998, WV-Jul 2016, WY-Mar 2018
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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