John R. Zufall

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CRD#: 1540619

Professional summary

Being a previously registered professional could mean that this person 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.

John Rolla Zufall was a registered financial professional .

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

Question & Answer

Are you a "fiduciary"?

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.

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

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

October 12, 2017 - August 29, 2022

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

ellisville, MO

Past

October 12, 2017 - August 29, 2022

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Ellisville, MO

Past

October 30, 2007 - October 12, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

ELLISVILLE, MO

Past

October 29, 2007 - October 12, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

ELLISVILLE, MO

Past

July 23, 2007 - October 30, 2007

AMERICAN GENERAL SECURITIES INCORPORATED

RIA

CRD#: 13626

ELLISVILLE, MO

Past

October 1, 2002 - October 30, 2007

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

ELLISVILLE, MO

Past

November 10, 1986 - January 26, 1988

I.M. SIMON & CO., INC.

CRD#: 418

Past

August 8, 1986 - October 1, 2002

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

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.

Visual representation of state registrations

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

State Security Law Exam

IAR

Series 65

Date: 7/16/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/10/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/7/1986

Investment Company Products/Variable Contracts Representative Examination

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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Firm Stability Insights

John R. Zufall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

AMERICAN GENERAL SECURITIES INCORPORATED

AMERICAN GENERAL SECURITIES INCORPORATED

I.M. SIMON & CO., INC.

AMERICAN GENERAL EQUITY SERVICES CORPORATION

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/16/2007

Series 63

Date: 10/10/1986

SIE

Date: 10/1/2018

Series 6

Date: 8/7/1986

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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