TS
Thomas M. Surowka
KESTRA ADVISORY SERVICES
ENDWELL, NY 13760
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CRD#: 1221965
TS
Professional summary
Thomas Michael Surowka is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Endwell, New York and KESTRA INVESTMENT SERVICES, LLC located in Endwell, New York.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Thomas has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 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.
Name: NFP Corporate Services (NY), LLC Investment Related: Yes Address: 1405 Davis Ave Endwell NY 13760 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, Senior Director Start Date: 4/1/2013 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Oversee sales/marketing of Endwell Office; Producer. Name: NFP Corporate Services Investment Related: Yes Address: 1405 Davis Avenue Endwell NY 13760 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 of NFP Corporate Services, (NY) LLC. Start Date: 4/1/2013 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: sales Name: Lake Chrisann Community Association Investment Related: No Address: PO Box 456 Montrose PA 18801 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: President Start Date: 4/1/2014 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Participate with Board and lake membership to maintain lake water quality, fishing and PA/DEP compliance 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 NAME: THOMAS SUROWKA MARK COLIAN POSITION: Tenant in common owner NATURE: Real Estate INVESTMENT RELATED: Yes # OF HOURS: 24 SECURITIES TRADING HOURS: 7 START DATE: 08/01/2019 ADDRESS: 573 Chrisann Rd, Montrose PA 18801, United States DESCRIPTION: partnering in all aspects of home renovation
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Michael Surowka'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
June 22, 2021 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 1405 Davis Ave, Endwell, NY 13760RIA
CRD#: 283330
ENDWELL, NY
Current
December 7, 2007 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1405 Davis Ave, Endwell, NY 13760BD
CRD#: 42046
Endwell, NY
Past
December 22, 1993 - December 7, 2007
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
February 19, 1986 - January 1, 1994
IAA FINANCIAL LLC
BD
CRD#: 6578
WEST PALM BEACH, FL
Past
January 25, 1984 - November 21, 1985
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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
California(3/10/2025)
RR
Florida(12/7/2007)
RR
Indiana(12/7/2007)
RR
Kentucky(4/21/2023)
RR
Missouri(1/27/2015)
RR
New York(12/7/2007)
IAR
New York(6/22/2021)
RR
North Carolina(12/7/2007)
RR
Pennsylvania(12/7/2007)
RR
Texas(3/9/2018)
RR
Virginia(12/7/2007)
RR
Wyoming(7/17/2017)
Exams
State Security Law Exam
General Industry/Product 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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Endwell, NY 13760TRUST BUT VERIFY
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