William M. Ozburn

KESTRA ADVISORY SERVICES

Fort Mill, SC

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CRD#: 1194997

Professional summary

William Marc Ozburn, CFP®, who also goes by Marc Ozburn, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Fort Mill, South Carolina and KESTRA INVESTMENT SERVICES, LLC located in Fort Mill, South Carolina.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. William has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marc Ozburn

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: Ozburn Financial Services Inc Investment Related: Yes Address: 1926 Coltharp Rd Fort Mill SC 29715 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Owner Start Date: 10/16/2017 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment ServicesBusiness Name: Kestra Advisory Services LLC Investment Related: Yes Address: 5707 Southwest Parkway, Bldg 2, Ste 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Advisor Start Date: 10/16/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Advisor

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Marc Ozburn's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Experience

Current

October 16, 2017 - Present

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Fort Mill, SC

Current

October 16, 2017 - Present

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Fort Mill, SC

Past

December 31, 2001 - October 17, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

FORT MILL, SC

Past

April 5, 2000 - October 17, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

FORT MILL, SC

Past

June 18, 1989 - April 6, 2000

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

November 27, 1985 - August 4, 1992

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

HARTFORD, CT

Past

October 22, 1985 - June 18, 1989

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

Past

December 13, 1983 - November 12, 1985

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

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.

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

California
(12/1/2017)

Florida
(10/16/2017)

Georgia
(10/16/2017)

Minnesota
(10/16/2017)

New Jersey
(10/16/2017)

North Carolina
(10/16/2017)

Ohio
(10/16/2017)

South Carolina
(10/16/2017)

IAR

South Carolina
(10/16/2017)

Tennessee
(10/16/2017)

Virginia
(1/26/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/31/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/16/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/6/2000

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 5/23/1986

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 12/12/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/10/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 3/1/1991

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

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	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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Firm Stability Insights

William M. Ozburn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Marc Ozburn's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

SUNAMERICA SECURITIES, INC.

AETNA LIFE INSURANCE AND ANNUITY COMPANY

SOUTHMARK FINANCIAL SERVICES, INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/1995

Series 63

Date: 12/16/1983

SIE

Date: 10/1/2018

Series 7

Date: 3/6/2000

Series 22

Date: 5/23/1986

Series 6

Date: 12/12/1983

Series 24

Date: 7/10/2000

Series 26

Date: 3/1/1991

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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