Rodney D. Regalado
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.
Rodney David Regalado, who also goes by Rod Regalado, Rodney David Regaldo, was a registered financial professional .
Rodney is a previously registered financial professional and started their career in finance in 1983. Rodney had worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2016 - March 28, 2018
KESTRA ADVISORY SERVICES, LLC
January 2, 2008 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
January 2, 2008 - March 28, 2018
KESTRA INVESTMENT SERVICES, LLC
May 27, 2003 - December 31, 2007
VOYA FINANCIAL ADVISORS, INC.
April 17, 1989 - December 31, 2007
VOYA FINANCIAL ADVISORS, INC.
May 13, 1987 - December 31, 1988
MUTUAL SERVICE CORPORATION
February 25, 1986 - March 14, 1987
ASSET WATCH FINANCIAL, INC.
August 17, 1984 - January 30, 1986
THE ADVISORS GROUP, INC.
March 20, 1984 - August 28, 1984
FSC SECURITIES CORPORATION
February 8, 1983 - March 26, 1984
SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
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.
