TC
Timothy J. Congleton
KESTRA ADVISORY SERVICES
Holly Springs, NC 27540
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CRD#: 1043192
TC
Professional summary
Timothy James Congleton is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Holly Springs, North Carolina and KESTRA INVESTMENT SERVICES, LLC located in Holly Springs, North Carolina.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Timothy has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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: THE FAMILY FARM ON AVENT FERRY Investment Related: No Address: 1719 AVENT FERRY ROAD HOLLY SPRINGS NC 27540 Nature of Business: Other Other/None of the Above WEDDING AND EVENT RENTAL OF FACILITIES, PUMPKIN AND CHRISTMAS TREE SALES, CATTLE SALES Position, Title or Relationship: OWNER, PARTNER Start Date: 8/1/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: GENERAL MANAGEMENT Business Name: KESTRA ADVISORY SERVICES LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 | Austin, TX 78735 Austin TX 78735 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: INVESTMENT ADVISORY REPRESENTATIVE Start Date: 8/4/2017 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: SALES, SERVICE, PLANNING AND FINANCIAL CONSULTING Business Name: AVENT OAKS ASSET MANAGEMENT POSITION: Investment Advisory Representative and Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 12/09/2021 ADDRESS: 4928 Linksland Dr, Suite 220, Holly Springs NC 27540 DESCRIPTION: Planning, sales and service of financial products to meet client's stated financial objectives
CRS (Client Relationship Summary) - RIA
Click below to view Timothy James Congleton'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
August 4, 2017 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 4928 Linksland Drive Suite 220, Holly Springs, NC 27540RIA
CRD#: 283330
Holly Springs, NC
Current
August 4, 2017 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 4928 Linksland Drive Suite 220, Holly Springs, NC 27540BD
CRD#: 42046
Holly Springs, NC
Past
February 25, 2009 - August 16, 2017
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
HOLLY SPRINGS, NC
Past
February 24, 2009 - August 16, 2017
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
HOLLY SPRINGS, NC
Past
April 12, 2004 - February 25, 2009
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
HOLLY SPRINGS, NC
Past
May 26, 1982 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
May 26, 1982 - February 25, 2009
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
HOLLY SPRINGS, NC
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
Alabama(3/31/2022)
RR
Arkansas(8/4/2017)
RR
Florida(12/1/2023)
RR
North Carolina(8/4/2017)
IAR
North Carolina(8/4/2017)
RR
South Carolina(8/4/2017)
RR
Texas(10/3/2023)
IAR
Texas(10/4/2023)
RR
Utah(8/4/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 283330Holly Springs, NC 27540TRUST BUT VERIFY
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