SW
Samuel F. Wishon
KESTRA ADVISORY SERVICES
Eatonton, GA
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CRD#: 1459119
SW
Professional summary
Samuel Francis Wishon, ChFC®, CLU® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Eatonton, Georgia and KESTRA INVESTMENT SERVICES, LLC located in Eatonton, Georgia.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Samuel has worked at 4 firms and has passed the Series 63, SIE and Series 7 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.
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 Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Name: Nuvision Financial Corp Investment Related: No Address: 2435 Wall St. Suite 101 Conyers GA 30013 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Principal Start Date: 12/1/2002 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Manage the office and produce business Name: FREY-MOSS STRUCTURES, INC. POSITION: Board Member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No # OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/22/2023 ADDRESS: 1801 Rockdale Industrial Blvd., Conyers GA 30012 DESCRIPTION: As a board member I will have access to to financial information, reports and other strategic information of the operations of the business in order to advise and oversee the executive management of the business. As a director I will also have input for setting the strategic direction of the company, approving major decisions and ensuring the company operates in a ethical and compliant way. NAME: FREY-MOSS STRUCTURES, INC. POSITION: Board Member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No # OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/22/2023 ADDRESS: 1801 Rockdale Industrial Blvd., Conyers GA 30012, United States DESCRIPTION: As a board member I will have access to to financial information, reports and other strategic information of the operations of the business in order to advise and oversee the executive management of the business. As a director I will also have input for setting the strategic direction of the company, approving major decisions and ensuring the company operates in a ethical and compliant way.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Francis Wishon'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®
Experience
Current
May 4, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Eatonton, GA
Current
May 1, 2003 - Present
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Eatonton, GA
Past
September 2, 2014 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
CONYERS, GA
Past
October 1, 1997 - May 7, 2003
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
February 19, 1986 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
BD
CRD#: 5178
FORT WAYNE, IN
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
Alabama(3/8/2007)
RR
Colorado(10/25/2024)
RR
Georgia(5/1/2003)
IAR
Georgia(5/4/2016)
RR
Iowa(12/5/2023)
RR
New York(8/20/2024)
RR
North Carolina(5/1/2003)
RR
South Carolina(9/18/2006)
RR
Tennessee(10/7/2024)
RR
Texas(8/7/2014)
Exams
State Security Law Exam
General 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
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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)
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.
