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JZ

John Rolla Zufall

CRD# 1540619·Registered 1986 - 2022
Previously Registered: Being a previously registered professional could mean that John is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

John Rolla Zufall was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1986 - 2022. John had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

40 years in the financial services industry

Current & Past Employments

KESTRA ADVISORY SERVICES, LLC·CRD# 283330
RIA
Ellisville, MO
October 12, 2017 - August 29, 2022
KESTRA INVESTMENT SERVICES, LLC·CRD# 42046
BD
Ellisville, MO
October 12, 2017 - August 29, 2022
NATIONAL PLANNING CORPORATION·CRD# 29604
RIA
Ellisville, MO
October 30, 2007 - October 12, 2017
NATIONAL PLANNING CORPORATION·CRD# 29604
BD
Ellisville, MO
October 29, 2007 - October 12, 2017
AMERICAN GENERAL SECURITIES INCORPORATED·CRD# 13626
RIA
Ellisville, MO
July 23, 2007 - October 30, 2007
AMERICAN GENERAL SECURITIES INCORPORATED·CRD# 13626
BD
Ellisville, MO
October 1, 2002 - October 30, 2007
I.M. SIMON & CO., INC.·CRD# 418
BD
November 10, 1986 - January 26, 1988
AMERICAN GENERAL EQUITY SERVICES CORPORATION·CRD# 5435
BD
Houston, TX
August 8, 1986 - October 1, 2002

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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 - SEC (12/31/1998 Approved)

Contact Information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Phone Number

(844) 553-7872

# of Employees

1,359

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (9/22/2026)

Regulatory Assets Under Management

Total Number of Accounts

192,439

AUM (Assets Under Management)

$79,798,091,767

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
12/01/2025Cover PageReport
12/23/2024Cover PageReport
10/20/2023Cover PageReport

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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: Old State Partnership Investment Related: Yes Address: 119 Old State Rd Ellisville MO 63021 Nature of Business: Real Estate Position, Title or Relationship: partner Start Date: 6/1/1987 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: manage day to day building needsBusiness Name: Capital Advisory Group, Inc Investment Related: Yes Address: 119 Old State Rd Ellisville MO 63021 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: owner 50% w /jeff zufall Start Date: 11/13/2009 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: running day to day activitysBusiness Name: Capital Advisors Group, Inc Investment Related: No Address: 119 Old State Rd Ellisville MO 63021 Nature of Business: Tax/Accounting/CPA Position, Title or Relationship: owner Start Date: 1/5/1982 Hours per month: 31% - 40% (49 - 64 hours) Hours per month during trading hours: 31% - 40% (43 - 56 hours) Duties: prepare corp and personal tax returns, preparing tax projections and general accountingBusiness Name: Kestra Advisory services LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 | Austin, TX 78735 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: investment advisor / registered rep Start Date: 10/12/2017 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: day to day management of client accounts

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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

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CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - SEC (12/31/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

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.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jul 2007About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1986About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Aug 1986About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JZ
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