RS
Randall N. Smith
KESTRA ADVISORY SERVICES
DALLAS, TX 75231
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CRD#: 1042283
RS
Professional summary
Randall Nelson Smith, who also goes by Randy Smith, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Dallas, Texas and KESTRA INVESTMENT SERVICES, LLC located in Dallas, Texas.
Randall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Randall has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Randy Smith
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: R&D Smith Family, L.P. Inv Rel: No Address: 2021 Sinclair Lane Plano TX 75093 NOB: Other Other/None of the Above This FLP owns assets. As a limited partner of this FLP, I take part in the management of those assets. POS: Limited Partner Start Date: 10/1/2002 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: This FLP owns assets. As a limited partner of this FLP, I take part in the management of those assets. Business Name: Smith, Frank & Partners Inv Rel: Yes Address: 5400 LBJ Frwy Suite 1250 Dallas TX 75240 NOB: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC POS: President, Principal, limited partner Start Date: 5/24/1974 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: I meet with prospects to solicite their business for the firm, typically through the planning process. I serve as a consultant for existing clients regarding their financial planning, investment, and insurance needs. Act as Managing Principal for the firm. Business Name: Park Home Owners Neighborhood Inv Rel: No Address: 2021 Sinclair Ln Plano TX 75093 NOB: Community/Charitable/Civic POS: President Start Date: 7/30/2014 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: act as spokes person for the organization Business Name: Kestra Advisory Services, LLC Inv Rel: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 NOB: Investment Advisory services through Kestra Advisory Services, LLC POS: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: WSG HOLDINGS 1 LLC POS: minority member NOB: Real Estate INV REL: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/07/2024 ADDRESS: 108 Camino Robles, Gun Barrel City TX 75156 DESC: none
CRS (Client Relationship Summary) - RIA
Click below to view Randall Nelson Smith'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
May 12, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 10300 N Central Expwy Ste 467, Dallas, TX 75231RIA
CRD#: 283330
DALLAS, TX
Current
July 24, 2002 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5400 Lbj Freeway, Suite 1250, Dallas, TX 75240BD
CRD#: 42046
Dallas, TX
Past
July 25, 2002 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
DALLAS, TX
Past
September 14, 1990 - July 26, 2002
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
DALLAS, TX
Past
September 14, 1990 - November 5, 2002
HFG ADVISORS, L.L.C.
RIA
CRD#: 110138
DALLAS, TX
Past
August 30, 1990 - July 26, 2002
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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(7/24/2002)
RR
Florida(8/31/2010)
RR
Nebraska(11/1/2023)
RR
North Carolina(3/5/2024)
RR
Oklahoma(9/11/2023)
RR
South Dakota(9/20/2017)
RR
Texas(7/24/2002)
IAR
Texas(5/12/2016)
Exams
State Security Law 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Dallas, TX 75231TRUST BUT VERIFY
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