CS
Christopher B. Szem
KESTRA ADVISORY SERVICES
RED BANK, NJ 07701
Some features on this profile are disabled
CRD#: 1391570
CS
Professional summary
Christopher Brian Szem, who also goes by Chris Szem, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Red Bank, New Jersey and KESTRA INVESTMENT SERVICES, LLC located in Ft. Lauderdale, Florida.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Christopher has worked at 7 firms and has passed the Series 66, Series 63, Series 22TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Szem
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.
Bus Name: Benecept consultants Investment Related: No Address: 188 E. Bergen Pl Red Bank NJ 07701 Nature of Business: Consulting Position, Title or Relationship: Employee Start Date: 7/1/2010 Hours per month: 71% - 80% (113 - 128 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: Sales Bus Name: Kestra Advisory Services LLC Investment Related: Yes Address: 5707 southwest parkway austin TX 78785 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: FINANCIAL ADVISOR Start Date: 7/1/2010 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: FINANCIAL ADVISOR Bus Name: RBP NATIONAL LLC POSITION: Partner NATURE: Insurance INVESTMENT RELATED: No # OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 11/15/2019 ADDRESS: 188 E. Bergen Place, Ste 104, Red Bank NJ 07701 DESCRIPTION: Designing and quoting Health plans for other agents and helping them close the sale. Bus Name: FRAZEM LLC POSITION: member NATURE: Insurance INVESTMENT RELATED: No # OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 02/15/2018 ADDRESS: 188 E. Bergen Place, Ste 104, Red Bank NJ 07701 DESCRIPTION: Distributing the product to other agents and clients Bus Name: NEW HEALTH CONSULTING POSITION: I am an employee not receiving income. I am referring the company to my contacts in the health insurance industry. NATURE: Insurance INVESTMENT RELATED: No # OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 11/15/2023 ADDRESS: 188 E. Bergen Pl Suite 103, Red Bank NJ 07701 DESCRIPTION: I am introducing the new platform to TPA's in the health insurance industry. Bus Name: HISI HEALTH INSURANCE SOLUTIONS, LLC POSITION: 50% Owner NATURE: Insurance INVESTMENT RELATED: No # OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 02/01/2025 ADDRESS: 114 W. Broad St, Suite A, Telford PA 18969, United States DESCRIPTION: Providing plan design and service to group health plans. Large group health plan consulting.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Brian Szem'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
March 17, 2017 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 188 E Bergen Place Suite 103-104, Red Bank, NJ 07701RIA
CRD#: 283330
RED BANK, NJ
Current
July 1, 2010 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2881 E. Oakland Park Blvd Ste 113, Ft. Lauderdale, FL 33306Office #2: 188 E Bergen Place Suite 103-104, Red Bank, NJ 07701BD
CRD#: 42046
Ft. Lauderdale, FL
Past
October 11, 2000 - April 5, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
October 11, 2000 - July 15, 2010
OSAIC FA, INC.
BD
CRD#: 3978
RED BANK, NJ
Past
May 19, 1988 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
NEW YORK, NY
Past
May 19, 1988 - September 19, 2000
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
September 24, 1985 - April 13, 1988
FIRST ATLANTIC INVESTMENT CORP.
BD
CRD#: 13062
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(7/1/2010)
RR
Florida(7/13/2011)
IAR
Florida(1/26/2022)
RR
New Jersey(7/1/2010)
IAR
New Jersey(3/17/2017)
RR
New York(7/1/2010)
RR
North Carolina(9/7/2012)
RR
Oklahoma(10/24/2025)
RR
Texas(1/26/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral 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
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.
