RP
Robert L. Pessell
KESTRA ADVISORY SERVICES
ENCINO, CA 91316
Some features on this profile are disabled
CRD#: 1176299
RP
Professional summary
Robert Lawrence Pessell, CFP®, who also goes by Bob Pessell, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Encino, California and KESTRA INVESTMENT SERVICES, LLC located in Encino, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Robert has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Pessell
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: Partners Insurance Investment Related: Yes Address: 6345 Balboa Blvd #290 Encino CA 91316 Nature of Business: Insurance Position, Title or Relationship: Agent Start Date: 4/29/1986 Hours per month: 71% - 80% (113 - 128 hours) Hours per month during trading hours: 71% - 80% (99 - 112 hours) Duties: i sell insuranceBusiness Name: Pessell Financial & Insurance Services, Inc FMS Financial Partners Investment Related: Yes Address: 6345 Balboa Blvd #290 Encino CA 91316 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance Position, Title or Relationship: sole Owner Start Date: 8/9/2005 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: this is my corporation. i am the sole owner, presidentBusiness Name: FMS Financial Partners, Inc. Investment Related: Yes Address: 6345 Balboa Blvd #290 Encino CA 91316 Nature of Business: Insurance Position, Title or Relationship: I sit on the management committee Start Date: 6/1/2010 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: we meet 4 times per year and discuss the leases, equipment, look at our production and discuss any succession planning ideasBusiness 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
CRS (Client Relationship Summary) - RIA
Click below to view Robert Lawrence Pessell'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: 1989
Experience
Current
April 21, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 6345 Balboa Blvd Suite 290, Encino, CA 91316RIA
CRD#: 283330
ENCINO, CA
Current
June 1, 2000 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 6345 Balboa Blvd., Suite 290, Encino, CA 91316BD
CRD#: 42046
Encino, CA
Past
June 27, 2007 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
ENCINO, CA
Past
May 1, 1991 - June 1, 2000
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
April 4, 1986 - May 7, 1991
FMS SECURITIES, INC.
BD
CRD#: 14356
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(2/3/2022)
RR
California(6/1/2000)
IAR
California(4/21/2016)
RR
Nevada(12/10/2024)
RR
Oregon(1/22/2025)
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
