Kenneth P. Ambrogi

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CRD#: 1041778

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kenneth Patrick Ambrogi, CFP® was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1982. Kenneth had worked at 15 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

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: Representative Start Date: 6/29/2017 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Third Party Money ManagementBusiness Name: New Century Investor Services, LLC Investment Related: Yes Address: 1249 South River Road Suite 107 Cranbury NJ 08512 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: President Start Date: 8/14/2006 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: to maintain the office and service my clientsBusiness Name: MidAtlantic Retirement Planning Specialists Investment Related: No Address: 228 Philadelphia Pike Suite A Wilmington DE 19809 Nature of Business: Consulting Position, Title or Relationship: associate Start Date: 6/28/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: None

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Past

June 28, 2017 - November 17, 2023

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Cranbury, NJ

Past

June 28, 2017 - November 17, 2023

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

CRANBURY, NJ

Past

October 31, 2007 - June 28, 2017

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

CRANBURY, NJ

Past

October 31, 2007 - June 28, 2017

CADARET, GRANT & CO., INC.

CRD#: 10641

CRANBURY, NJ

Past

October 10, 2003 - November 1, 2007

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

MONROE TWP, NJ

Past

November 15, 2002 - November 1, 2007

SECURITIES AMERICA, INC.

CRD#: 10205

MONROE TWP, NJ

Past

March 6, 2001 - December 3, 2002

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

POUGHKEEPSIE, NY

Past

June 19, 2000 - March 16, 2001

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

November 13, 1997 - June 19, 2000

REPUBLIC FINANCIAL SERVICES CORPORATION

CRD#: 38293

NEW YORK, NY

Past

August 16, 1994 - November 20, 1997

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

POUGHKEEPSIE, NY

Past

January 31, 1994 - August 30, 1994

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

May 11, 1992 - February 7, 1994

DIME SECURITIES, INC.

CRD#: 28955

BROOKLYN, NY

Past

December 9, 1991 - June 2, 1992

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

May 3, 1990 - December 2, 1991

REICH & CO., INC.

CRD#: 19611

Past

March 29, 1988 - June 4, 1990

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

July 23, 1985 - June 29, 1990

CORNWALL SECURITIES, INC.

CRD#: 8334

GREAT NEC, NY

Past

June 19, 1984 - August 1, 1985

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

Past

May 10, 1982 - February 19, 1985

MONY SECURITIES CORPORATION

CRD#: 4386

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".

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/21/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/1988

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/7/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/17/2002

General Securities Principal Examination

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

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	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	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.

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Advisor Monitoring

Firm Stability Insights

Kenneth P. Ambrogi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

PRIME CAPITAL SERVICES, INC.

HSBC BROKERAGE (USA) INC.

REPUBLIC FINANCIAL SERVICES CORPORATION

PRIME CAPITAL SERVICES, INC.

IFMG SECURITIES, INC.

DIME SECURITIES, INC.

INVEST FINANCIAL CORPORATION

REICH & CO., INC.

INVEST FINANCIAL CORPORATION

CORNWALL SECURITIES, INC.

NATHAN & LEWIS SECURITIES, INC.

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/21/1992

SIE

Date: 10/1/2018

Series 7

Date: 7/16/1988

Series 6

Date: 5/7/1982

Series 24

Date: 5/17/2002

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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