Ralph D. Janitell

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CRD#: 1292715

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Ralph David Janitell III, who also goes by Ralph David Janitell, Ralph Janitell, was a registered financial professional .

Ralph is a previously registered financial professional and started their career in finance in 1984. Ralph had worked at 18 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ralph David Janitell | Ralph Janitell

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 suuite 400 austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: advisor Start Date: 1/4/2021 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: provide models and investment advice and planning for clients related to their managed accountsBusiness Name: Catalyst Retirement Advisors Investment Related: Yes Address: 7900 east union ave st 120 denver CO 80237 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: advisor Start Date: 1/4/2021 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: act as an advisor providing financial planning including selling commission products life and annuities and mutual funds and providing asset management as an advisor GARDEN VALLEY WATER AND SANITATION DISTRICT POSITION: board member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 05/03/2022 ADDRESS: 2840 south circle drive, colorado springs CO 80906, United States DESCRIPTION: act as a board member in decision making process regarding maintenance and general day to day upkeep of systems over see income and expenses and balance sheet. make sure that bills are paid on time for water management services etc.

Blog Corner

CRS (Client Relationship Summary)

CRD#: 27020

Past

January 25, 1990 - December 8, 1990

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

December 21, 1984 - January 22, 1990

COUGHLIN & COMPANY, INC.

CRD#: 185

DENVER, CO

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/22/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/15/1985

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: 12/15/1984

General Securities Representative Examination

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

Ralph D. Janitell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

WADDELL & REED

WADDELL & REED

REGULUS FINANCIAL GROUP, LLC

1ST CONSUMER ADVISORY GROUP LLC

WADDELL & REED

WADDELL & REED

LPL FINANCIAL LLC

LPL FINANCIAL LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CAROLINA CAPITAL MARKETS, INC.

ADVEST, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

HANIFEN, IMHOFF INC.

HANIFEN, IMHOFF INC.

LUMIERE SECURITIES, INC.

LP CHARLES & COMPANY, INC.

DAIN RAUSCHER INCORPORATED

COUGHLIN & COMPANY, INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/22/2007

Series 63

Date: 1/15/1985

SIE

Date: 10/1/2018

Series 7

Date: 12/15/1984

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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