Clifford L. Giles

KESTRA ADVISORY SERVICES

Bayport, NY 11705

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CRD#: 1314230

Professional summary

Clifford Louis Giles is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Bayport, New York and KESTRA INVESTMENT SERVICES, LLC located in Port Jefferson, New York.

Clifford is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Clifford has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 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: AIB (ADVISORS INSURANCE BROKERS) POSITION: Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 2 START DATE: 08/28/2023 ADDRESS: 11 Executive Park Drive, Clifton Park NJ 12065 DESCRIPTION: Product sales, placement and service. Business Name: COASTLINE WEALTH MANAGEMENT POSITION: Wealth Management Advisor NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 08/25/2023 ADDRESS: 1303 Main Street, Port Jefferson NY 11777 DESCRIPTION: Financial Planning Wealth Management Registered Rep Activities Business Name: KESTRA ADVISORY SERVICES, LLC POSITION: Wealth Management Advisor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 08/25/2023 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735 DESCRIPTION: Ongoing review of Investment Advisory Accounts

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clifford Louis Giles'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®

None

Experience

Current

September 14, 2023 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 870 Montauk Hwy, Bayport, NY 11705Office #2: 381 Main Street, Bay Shore, NY 11706

RIA

CRD#: 283330

Bayport, NY

Current

September 14, 2023 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 1303 Main Street, Port Jefferson, NY 11777Office #2: 381 Main Street, Bay Shore, NY 11706

CRD#: 42046

Port Jefferson, NY

Past

August 3, 2021 - September 20, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

EAST SETAUKET, NY

Past

December 2, 2014 - September 20, 2023

LPL FINANCIAL LLC

CRD#: 6413

EAST SETAUKET, NY

Past

December 1, 2014 - December 31, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

EAST SETAUKET, NY

Past

October 1, 2012 - December 12, 2014

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

BAYPORT, NY

Past

October 1, 2012 - December 12, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

BAYPORT, NY

Past

May 2, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

SAYVILLE, NY

Past

May 2, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

SAYVILLE, NY

Past

December 11, 2006 - May 2, 2009

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

BAYPORT, NY

Past

May 1, 2002 - May 2, 2009

WAMU INVESTMENTS, INC.

CRD#: 599

BAYPORT, NY

Past

June 20, 2001 - May 1, 2002

DIME SECURITIES, INC.

CRD#: 28955

BROOKLYN, NY

Past

March 6, 2001 - July 6, 2001

ON-SITE TRADING, INC.

CRD#: 30271

GREAT NECK, NY

Past

September 18, 1996 - July 13, 1999

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

August 1, 1994 - September 18, 1996

CHEMICAL INVESTMENT SERVICES CORP.

CRD#: 36312

Past

May 26, 1994 - August 1, 1994

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

November 3, 1987 - June 14, 1994

GRIFFIN FINANCIAL SERVICES

CRD#: 10823

Past

December 11, 1984 - December 31, 1987

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

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

Arizona
(9/14/2023)

California
(7/12/2024)

Delaware
(9/14/2023)

Florida
(9/14/2023)

Georgia
(9/14/2023)

New Jersey
(9/14/2023)

New York
(9/14/2023)

IAR

New York
(9/14/2023)

North Carolina
(9/20/2023)

Pennsylvania
(9/14/2023)

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: 12/7/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/7/1984

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: 6/18/1988

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 8/30/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 12/7/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/7/1991

General Securities 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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Clifford L. Giles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clifford Louis Giles's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

DIME SECURITIES, INC.

ON-SITE TRADING, INC.

CHASE INVESTMENT SERVICES CORP.

CHEMICAL INVESTMENT SERVICES CORP.

IFMG SECURITIES, INC.

GRIFFIN FINANCIAL SERVICES

ADVANTAGE CAPITAL CORPORATION

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/7/2006

Series 63

Date: 12/7/1984

SIE

Date: 10/1/2018

Series 7

Date: 6/18/1988

Series 22

Date: 8/30/1985

Series 6

Date: 12/7/1984

Series 24

Date: 10/7/1991

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

Contact information

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