DB
David J. Bugos
KESTRA ADVISORY SERVICES
Oklahoma City, OK 73120
Some features on this profile are disabled
CRD#: 1237576
DB
Professional summary
David James Bugos, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Oklahoma City, Oklahoma and KESTRA INVESTMENT SERVICES, LLC located in Oklahoma City, Oklahoma.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. David has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 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.
Business 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 Reoresentative Start Date: 6/26/2016 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: Investment advisory services Business Name: Oklahoma Financial Center, Inc. Investment Related: Yes Address: 12436 St. Andrews Ct Oklahoma City OK 73120 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: Representative/Financial Planner Start Date: 6/26/2016 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: Investment advice/Financial Planning Business Name: David Bugos Investment Related: No Address: 12601 S Pottawatomie Rd McLoud OK 74851 Nature of Business: Other Other/None of the Above owner Position, Title or Relationship: owner Start Date: 12/29/2003 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: care of acreage and livestock
CRS (Client Relationship Summary) - RIA
Click below to view David James Bugos'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: 1997
Experience
Current
July 5, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 12436 St. Andrews Ct., Oklahoma City, OK 73120RIA
CRD#: 283330
Oklahoma City, OK
Current
July 5, 2016 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 12436 St. Andrews Dr., Oklahoma City, OK 73120BD
CRD#: 42046
Oklahoma City, OK
Past
May 23, 2008 - July 6, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
OKLAHOMA CITY, OK
Past
February 20, 2008 - July 6, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
OKLAHOMA CITY, OK
Past
July 23, 2002 - July 27, 2007
COUNTRY TRUST BANK
RIA
CRD#: 109487
OKLAHOMA CITY, OK
Past
June 1, 2001 - February 27, 2008
COUNTRY CAPITAL MANAGEMENT COMPANY
BD
CRD#: 12060
OKLAHOMA CITY, OK
Past
June 13, 1984 - April 21, 1986
COUNTRY CAPITAL MANAGEMENT COMPANY
BD
CRD#: 12060
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
Illinois(8/15/2024)
RR
Missouri(8/23/2016)
RR
Oklahoma(7/5/2016)
IAR
Oklahoma(7/5/2016)
RR
Texas(7/5/2016)
RR
Utah(7/18/2016)
RR
Washington(5/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General 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
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.
