MT
Michael I. Tievy
KESTRA ADVISORY SERVICES
ROCKVILLE, MD 20850
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CRD#: 1055573
MT
Professional summary
Michael Ian Tievy, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Rockville, Maryland and KESTRA INVESTMENT SERVICES, LLC located in Rockville, Maryland.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Michael has worked at 6 firms and has passed the Series 63, SIE and Series 6 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: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: 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: Michael I. Tievy, CLU, CFP Investment Related: No Address: 15245 Shady Grove Rd Suite 430 Rockville MD 20850 Nature of Business: Consulting; Insurance Position, Title or Relationship: Owner Start Date: 7/1/1973 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: insurance sales & retirement plan consulting. Business Name: MICHAEL IAN TIEVY Investment Related: No Address: 10217 LAKESTONE PLACE ROCKVILLE MD 20850 Nature of Business: Insurance Position, Title or Relationship: owner Start Date: 7/1/1973 Hours per month: 51% - 60% (81 - 96 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: insurance sales
CRS (Client Relationship Summary) - RIA
Click below to view Michael Ian Tievy'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®
Experience
Current
April 21, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 15245 Shady Grove Road Suite 240, Rockville, MD 20850RIA
CRD#: 283330
ROCKVILLE, MD
Current
November 1, 2007 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 15245 Shady Grove Road Suite 250, Rockville, MD 20850BD
CRD#: 42046
Rockville, MD
Past
August 7, 2008 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
ROCKVILLE, MD
Past
July 16, 2007 - November 2, 2007
OSAIC FA, INC.
RIA
CRD#: 3978
ROCKVILLE, MD
Past
February 5, 1996 - November 2, 2007
OSAIC FA, INC.
BD
CRD#: 3978
ROCKVILLE, MD
Past
February 2, 1994 - December 20, 1995
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
April 5, 1989 - January 28, 1994
OSAIC FA, INC.
BD
CRD#: 3978
Past
April 5, 1989 - May 26, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
July 27, 1982 - May 9, 1984
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
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(9/14/2021)
RR
Connecticut(2/19/2009)
RR
Delaware(1/5/2021)
RR
District of Columbia(11/1/2007)
RR
Florida(4/6/2018)
RR
Kentucky(11/1/2007)
RR
Maryland(11/1/2007)
IAR
Maryland(4/21/2016)
RR
Massachusetts(8/9/2011)
RR
Michigan(5/26/2023)
RR
New Jersey(8/9/2011)
RR
New York(11/8/2007)
RR
Pennsylvania(11/1/2007)
RR
Texas(11/1/2007)
RR
Virginia(11/1/2007)
RR
Washington(3/22/2019)
RR
West Virginia(11/1/2007)
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
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.
