Steven L. Spong

KESTRA ADVISORY SERVICES

Harrisburg, PA 17112

CRD#: 1477959

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Professional summary

Steven Lynn Spong, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Harrisburg, Pennsylvania and KESTRA INVESTMENT SERVICES, LLC located in Harrisburg, Pennsylvania.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Steven has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

What are your service offerings?

Long-term Care

Retirement Planning

Estate Planning

Comprehensive Financial Planni...

Tax Planning

Social Security Planning

Insurance Planning

Investment Planning

Retirement Income Management

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Lynn Spong'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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

January 28, 2025 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 2201 Forest Hills Drive Suite 8, Harrisburg, PA 17112

RIA

CRD#: 283330

Harrisburg, PA

Current

January 28, 2025 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 2201 Forest Hills Dr Suite 8, Harrisburg, PA 17112

CRD#: 42046

Harrisburg, PA

Past

November 20, 2012 - January 30, 2025

OSAIC WEALTH, INC.

RIA

CRD#: 23131

HARRISBURG, PA

Past

November 16, 2012 - January 30, 2025

OSAIC WEALTH, INC.

CRD#: 23131

HARRISBURG, PA

Past

November 2, 2005 - November 28, 2012

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

HARRISBURG, PA

Past

November 1, 2005 - November 28, 2012

NATIONAL PLANNING CORPORATION

CRD#: 29604

HARRISBURG, PA

Past

February 3, 2005 - November 3, 2005

VICUS CAPITAL, INC.

RIA

CRD#: 116021

HARRISBURG, PA

Past

September 28, 2001 - November 9, 2005

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

January 10, 2001 - September 17, 2001

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

April 7, 1986 - January 26, 2001

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

April 7, 1986 - January 26, 2001

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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
(1/28/2025)

California
(1/28/2025)

Colorado
(1/28/2025)

Delaware
(1/28/2025)

District of Columbia
(1/28/2025)

Florida
(1/28/2025)

Georgia
(1/28/2025)

Illinois
(1/28/2025)

Maine
(1/28/2025)

Maryland
(1/28/2025)

Massachusetts
(1/28/2025)

Michigan
(1/28/2025)

Minnesota
(1/28/2025)

Mississippi
(1/28/2025)

Missouri
(1/28/2025)

Nevada
(1/28/2025)

New Hampshire
(1/28/2025)

New Jersey
(1/28/2025)

New Mexico
(1/28/2025)

New York
(1/28/2025)

North Carolina
(2/3/2025)

Ohio
(1/28/2025)

Pennsylvania
(1/28/2025)

IAR

Pennsylvania
(1/28/2025)

South Carolina
(1/28/2025)

South Dakota
(1/28/2025)

Texas
(1/28/2025)

IAR

Texas
(1/28/2025)

Vermont
(1/28/2025)

Virginia
(1/28/2025)

Washington
(1/28/2025)

West Virginia
(1/28/2025)

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

Series 63

Date: 10/24/1986

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: 7/5/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/4/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/13/2008

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) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (11/24/2025)

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
12/01/2025	Cover Page	Report
12/23/2024	Cover Page	Report
10/20/2023	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

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Steven L. Spong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Lynn Spong's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

VICUS CAPITAL, INC.

WALNUT STREET SECURITIES, INC.

1717 CAPITAL MANAGEMENT COMPANY

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/24/1986

SIE

Date: 10/1/2018

Series 7

Date: 7/5/2001

Series 6

Date: 4/4/1986

Series 24

Date: 2/13/2008

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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