RS
Rollin G. Schuster
KESTRA ADVISORY SERVICES
West Hartford, CT 06107
Some features on this profile are disabled
CRD#: 1211403
RS
Professional summary
Rollin Gilbert Schuster JR, who also goes by Rollie Schuster, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in West Hartford, Connecticut and KESTRA INVESTMENT SERVICES, LLC located in West Hartford, Connecticut.
Rollin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Rollin has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 52, Series 62, Series 22, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rollie Schuster
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.
1) Schuster Driscoll, LLC Investment Related: Yes Address: 135 South Road Farmington CT 06032 Nature of Business: Insurance; Investment Advisory (RIA, IAR, Financial Planning, etc.) Position, Title or Relationship: Owner Start Date: 1/1/1990 Hours/ month: 100%+ Hours/ month during trading hours: 91% - 100% (127 - 140 hours) Duties: Manage business/ client relationships 2) The Alliance for Non Profit Growth and Opportunities, Inc Investment Related: No Address: 135 South Rd Farmington CT 06032 Nature of Business: Community/Charitable/Civic Position, Title or Relationship: President Start Date: 6/23/2008 Hours per month: 0% - 10% (0 - 16 hours) Hours/ month during trading hours: 0% - 10% (0 - 14 hours) Duties: Manage organization 3) Schuster Driscoll LLC dba The Schuster Group Investment Related: Yes Address: 135 South Road Farmington CT 06032 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance Position, Title or Relationship: sole member; owner; president Start Date: 1/1/2016 Hours/ month: 100%+ Hours per month during trading hours: 71% - 80% (99 - 112 hours) Duties: Run business, sales 4) 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/ month: Up to 100% Hours/ month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory 5) QUALIDIGM Investment Related: No Address: 1290 SILAS DEANE HIGHWAY WETHERSFIELD CT 06109 Nature of Business: Board Position Position, Title or Relationship: BOARD MEMBER Start Date: 1/1/2016 Hours/ month: 0% - 10% (0 - 16 hours) Hours/ month during trading hours: 0% - 10% (0 - 14 hours) Duties: BOARD MEMBER 6) CW RESOURCES INC. Investment Related: No Address: 227 MYRTLE STREET NEW BRITAIN CT 06031 Nature of Business: Board Position Position, Title or Relationship: BOARD MEMBER Start Date: 9/1/2013 Hours/ month: 0% - 10% (0 - 16 hours) Hours/ month during trading hours: 0% - 10% (0 - 14 hours) Duties: TREASURER 7) Cross Current Insurance Group, LLC Investment Related: No Address: 135 South Road Farmington CT 06032 Nature of Business: Insurance Position, Title or Relationship: Member Start Date: 11/1/2018 Hours/ month: 11% - 20% (17 - 32 hours) Hours/ month during trading hours: 21% - 30% (29 - 42 hours) Duties: Sales and marketing 8) NFP Investment Related: Yes Address: 340 Madison Ave New York NY 10173 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: Employee Start Date: 1/1/2021 Hours/ month: 91% - 100% (145 - 160 hours) Hours/month during trading hours: 81% - 90% (113 - 126 hours) Duties: Sales and management 9) SOUL FLY LODGE POSITION: Partial owner NATURE: Fly Fishing Lodge INVESTMENT RELATED: No # OF HOURS: 1 TRADING HOURS: 1 START DATE: 01/01/2021 ADDRESS: Greay Harbor Cay, Berry Islands UM 11111, United States DESCRIPTION: review financials 10) KISMET PROPERTIES POSITION: Member NATURE: Real Estate INVESTMENT RELATED: Yes # OF HOURS: 6 TRADING HOURS: 0 START DATE: 11/01/2019 ADDRESS: 210 Old Farms Road, Simsbury CT 06070, United States DESCRIPTION: Manage 11) FRANKLIN PIERCE UNIVERSITY POSITION: Board Member NATURE: Board position INVESTMENT RELATED: No # OF HOURS: 6 TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 40 University Drive, Rindge NH 03461, United States DESCRIPTION: Board of Trustees of Franklin Pierce University. 12) OUTDOOR GUIDE ASSOCIATION POSITION: Director NATURE: Board position INVESTMENT RELATED: No # OF HOURS: 2 TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 210 Old Farms Road, Simsbury CT 06070, United States DESCRIPTION: Oversight
CRS (Client Relationship Summary) - RIA
Click below to view Rollin Gilbert Schuster JR'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®
NoneExperience
Current
April 18, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 29 South Main Street Suite 210, West Hartford, CT 06107RIA
CRD#: 283330
West Hartford, CT
Current
June 6, 2006 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 29 South Main Street Suite 300, West Hartford, CT 06107BD
CRD#: 42046
West Hartford, CT
Past
May 11, 2010 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
FARMINGTON, CT
Past
March 1, 1996 - June 9, 2006
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
FARMINGTON, CT
Past
July 21, 1994 - December 31, 1994
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
July 23, 1987 - March 1, 1996
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
December 9, 1985 - July 31, 1987
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
Past
January 26, 1984 - November 19, 1985
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Past
January 6, 1984 - November 18, 1985
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 2682
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(7/8/2009)
RR
California(3/1/2007)
RR
Connecticut(6/6/2006)
IAR
Connecticut(4/18/2016)
RR
Florida(7/14/2017)
RR
Maryland(2/18/2022)
RR
Massachusetts(6/6/2006)
RR
New Hampshire(9/14/2006)
RR
New Jersey(1/10/2007)
RR
New York(6/6/2006)
RR
North Carolina(11/6/2017)
RR
Pennsylvania(8/4/2010)
RR
Rhode Island(3/18/2008)
RR
Texas(11/27/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 9/7/1990
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
