Stuart W. Benjamin

KESTRA ADVISORY SERVICES

Vestavia Hills, AL 35243

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CRD#: 1317657

Professional summary

Stuart Wayne Benjamin, who also goes by Stu Benjamin, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Vestavia Hills, Alabama and KESTRA INVESTMENT SERVICES, LLC located in Vestavia, Alabama.

Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Stuart has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stu Benjamin

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: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 08/04/2025 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: THE BENJAMIN GROUP POSITION: Owner NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 120 SECURITIES TRADING HOURS: 100 START DATE: 11/01/2006 ADDRESS: 4924 Cahaba River Road, Birmingham AL 35243, United States DESCRIPTION: Investment management, client relations, retirement planning

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stuart Wayne Benjamin'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

August 4, 2025 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 4924 Cahaba River Road, Vestavia Hills, AL 35243

RIA

CRD#: 283330

Vestavia Hills, AL

Current

August 4, 2025 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 4924 Cahaba River Road, Vestavia, AL 35243

CRD#: 42046

Vestavia, AL

Past

November 3, 2006 - August 7, 2025

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Vestavia Hills, AL

Past

November 3, 2006 - August 7, 2025

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

Vestavia Hills, AL

Past

June 1, 2005 - November 9, 2006

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

BIRMINGHAM, AL

Past

June 1, 2005 - November 9, 2006

EQUITABLE ADVISORS, LLC

CRD#: 6627

BIRMINGHAM, AL

Past

November 4, 2002 - June 1, 2005

MONY SECURITIES CORPORATION

RIA

CRD#: 4386

BIRMINGHAM, AL

Past

January 4, 2000 - March 17, 2005

THE BENJAMIN GROUP

RIA

CRD#: 122832

BIRMINGHAM, AL

Past

November 27, 1984 - June 1, 2005

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

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

IAR

Alabama
(8/4/2025)

Alabama
(8/7/2025)

Arizona
(8/4/2025)

Florida
(8/4/2025)

Georgia
(8/4/2025)

Idaho
(8/4/2025)

Indiana
(8/4/2025)

Louisiana
(8/4/2025)

Mississippi
(8/4/2025)

Missouri
(8/4/2025)

New Mexico
(8/4/2025)

New York
(8/4/2025)

North Carolina
(8/8/2025)

Ohio
(8/5/2025)

South Carolina
(8/4/2025)

South Dakota
(8/4/2025)

Tennessee
(8/4/2025)

Texas
(8/4/2025)

IAR

Texas
(8/4/2025)

Vermont
(8/4/2025)

Virginia
(8/4/2025)

Wisconsin
(8/4/2025)

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: 9/26/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/5/1985

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: 12/20/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/16/1984

Investment Company Products/Variable Contracts Representative 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.

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Advisor Monitoring

Firm Stability Insights

Stuart W. Benjamin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stuart Wayne Benjamin's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

MONY SECURITIES CORPORATION

THE BENJAMIN GROUP

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/26/2005

Series 63

Date: 4/5/1985

SIE

Date: 10/1/2018

Series 7

Date: 12/20/1995

Series 6

Date: 11/16/1984

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

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