CF
Carl P. Flanagan
KESTRA ADVISORY SERVICES
San Antonio, TX 78209
Some features on this profile are disabled
CRD#: 1004911
CF
Professional summary
Carl Pultz Flanagan III, who also goes by Carl P. Flanagan III, Chip Flanagan, III Carl Pultz Flanagan, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in San Antonio, Texas and KESTRA INVESTMENT SERVICES, LLC located in San Antonio, Texas.
Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Carl has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carl P. Flanagan Iii | Chip Flanagan | Iii Carl Pultz Flanagan
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.
Business Name: Griffin Financial Group Investment Related: Yes Address: 4901 Broadway, Suite 200 San Antonio TX 78209 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Registered Representative, Investment Adviser Representative Start Date: 3/1/1993 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Registered Rep, IAR Business Name: Kestra Advisory Services LLC Investment Related: Yes Address: 5707 Southwest Parkway, Bldg 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: IAR Start Date: 1/3/2018 Hours per month: 81% - 90% (129 - 144 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: investment mangaement Business Name: Carl P. Flanagan III Investment Related: No Address: PO Box 90014 San Antonio TX 78209 Nature of Business: Other Other/None of the Above Officiate Youth, MS. HS & College lacrosse games Position, Title or Relationship: Lacrosse Official Start Date: 1/1/2003 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Travel to locations and Officiate games Business Name: Magic Wand Lacrosse Investment Related: No Address: PO Box 90014 San Antonio TX 78209 Nature of Business: Other Other/None of the Above organize players, collect dues and pay tournament registration fees and uniforms for 1 lacrosse tournament a year Position, Title or Relationship: organizer Start Date: 1/1/1994 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: organize players, collect dues and pay tournament registration fees and uniforms for 1 lacrosse tournament a year SAN ANTONIO LACROSSE OFFICIALS ASSOCIATION POSITION: Vice President NATURE: Services INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 11/09/2022 ADDRESS: 4901 Broadway, Suite 200, San Antonio TX 78209, United States DESCRIPTION: Primary Duty is coordination of training new officials and contiuning Education for exsiting Officials. Secondary duty is predide over Chapter meetings when President cannot attend those CHIP FLANAGAN POSITION: Lacrosse Official NATURE: Officiate lacrosse games INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 7 START DATE: 01/01/1992 ADDRESS: PO Box 90014, San Antonio TX 78209, United States DESCRIPTION: Travel to various locations throughout the state and officiate lacrosse games. Most games are in San Antoinio however I have travelled to Austin, Corpus Christi, Lubbock and Dallas to officiate games. Depending on my assigmnt I my have to reach out to the Home team Coach to coorinate and confirm game site and time as well as then coordinate with the crew that infomration.
CRS (Client Relationship Summary) - RIA
Click below to view Carl Pultz Flanagan III'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
January 3, 2018 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 4901 Broadway, Suite 200, San Antonio, TX 78209RIA
CRD#: 283330
San Antonio, TX
Current
January 3, 2018 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 4901 Broadway Suite 200, San Antonio, TX 78209BD
CRD#: 42046
San Antonio, TX
Past
January 5, 2012 - January 3, 2018
SII INVESTMENTS, INC.
RIA
CRD#: 2225
SAN ANTONIO, TX
Past
January 5, 2012 - January 3, 2018
SII INVESTMENTS, INC.
BD
CRD#: 2225
SAN ANTONIO, TX
Past
September 19, 2007 - January 30, 2012
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
SAN ANTONIO, TX
Past
April 4, 2007 - January 30, 2012
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
SAN ANTONIO, TX
Past
October 5, 1998 - April 13, 2007
SII INVESTMENTS, INC.
BD
CRD#: 2225
AUSTIN, TX
Past
April 3, 1993 - August 14, 1998
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
October 16, 1981 - March 3, 1993
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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
California(1/3/2018)
RR
Colorado(1/3/2018)
RR
Florida(7/14/2021)
RR
Louisiana(1/3/2018)
RR
New York(8/20/2019)
RR
North Carolina(1/3/2018)
RR
Texas(1/3/2018)
IAR
Texas(1/3/2018)
RR
Virginia(1/26/2018)
RR
Wisconsin(1/3/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
