MS
Mark Sindrich
KESTRA ADVISORY SERVICES
Denver, CO 80210
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CRD#: 1097529
MS
Professional summary
Mark Sindrich, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Denver, Colorado and KESTRA INVESTMENT SERVICES, LLC located in Denver, Colorado.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Mark has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 51 and Series 24 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.
Bus Name: Sindrich and Associates Investment Related: Yes Address: 1490 so pearl st denver CO 80210 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: Owner Start Date: 1/1/1990 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: business development planning investment allocations Bus Name: Diversified Financial Partners LLC Investment Related: Yes Address: 2 Inverness Drive East St suite 187 Englewood CO 80112 Nature of Business: Insurance Position, Title or Relationship: member Start Date: 1/1/1995 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: business management Bus Name: Five Story LLC Investment Related: Yes Address: 1490 South Pearl St Denver CO 80210 Nature of Business: Real Estate Position, Title or Relationship: member Start Date: 2/1/1996 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: rent property Bus 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 Bus Name: Moneypenny Management LLC Investment Related: Yes Address: 1490 South Pearl Street Denver CO 80210 Nature of Business: Other Back Office Operations Position, Title or Relationship: member Start Date: 1/1/2017 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: owner office and sales Bus Name: MONEYPENNY MANAGEMENT LLC POSITION: member NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 24 SECURITIES TRADING HOURS: 21 START DATE: 01/01/2017 ADDRESS: 1490 South Pearl Street, Denver CO 80210, United States DESCRIPTION: owner office and sales
CRS (Client Relationship Summary) - RIA
Click below to view Mark Sindrich'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®
CFP®
Start date: 1987
Experience
Current
April 21, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 1490 S. Pearl, Denver, CO 80210RIA
CRD#: 283330
Denver, CO
Current
June 10, 1999 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1490 S. Pearl, Denver, CO 80210BD
CRD#: 42046
Denver, CO
Past
February 13, 2001 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
LARAMIE, WY
Past
November 19, 1989 - June 14, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
March 24, 1983 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
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
Arizona(11/15/2017)
RR
California(6/16/1999)
RR
Colorado(6/10/1999)
IAR
Colorado(4/21/2016)
RR
Connecticut(6/10/1999)
RR
District of Columbia(11/9/2023)
RR
Florida(6/10/1999)
RR
Georgia(4/18/2011)
RR
Hawaii(11/6/2023)
RR
Idaho(10/8/2021)
RR
Illinois(5/18/2018)
RR
Indiana(11/14/2023)
RR
Iowa(4/13/2001)
RR
Kansas(11/13/2020)
RR
Maryland(1/4/2024)
RR
Massachusetts(3/8/2013)
RR
Minnesota(6/5/2024)
RR
Missouri(6/10/1999)
RR
Montana(6/10/1999)
RR
Nebraska(10/18/2022)
RR
Nevada(4/23/2001)
RR
New Hampshire(3/20/2025)
RR
New Jersey(11/8/2019)
RR
New Mexico(7/29/2019)
RR
New York(10/20/2015)
RR
North Carolina(2/28/2008)
RR
Ohio(11/9/2023)
RR
Oklahoma(8/23/2001)
RR
Pennsylvania(6/10/1999)
RR
South Carolina(8/30/2019)
RR
Texas(6/10/1999)
IAR
Texas(7/27/2023)
RR
Utah(11/6/2018)
RR
Virginia(11/10/2000)
RR
Washington(11/5/2009)
RR
Wisconsin(12/21/2007)
RR
Wyoming(11/16/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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.
