QE
Quentin D. Elliott
KESTRA ADVISORY SERVICES
Essex, CT 06426
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CRD#: 1588497
QE
Professional summary
Quentin Douglas Elliott, who also goes by Quentin D Elliott, Quentin Elliott, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Essex, Connecticut and KESTRA INVESTMENT SERVICES, LLC located in Essex, Connecticut.
Quentin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Quentin has worked at 6 firms and has passed the Series 66, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Quentin D Elliott | Quentin Elliott
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: Ivory Wealth Management, Inc. Investment Related: Yes Address: 124 Westbrook Road Suite 202 Essex CT 06426 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Financial Advisor Start Date: 1/2/2020 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Fainancial Advisory workBusiness 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: Senior VP Start Date: 1/2/2020 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Providing advice to clients
CRS (Client Relationship Summary) - RIA
Click below to view Quentin Douglas Elliott'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
January 2, 2020 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 124 Westbrook Road Suite 202, Essex, CT 06426RIA
CRD#: 283330
Essex, CT
Current
January 2, 2020 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 124 Westbrook Road Suite 202, Essex, CT 06426BD
CRD#: 42046
Essex, CT
Past
May 18, 2018 - December 31, 2019
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
Essex, CT
Past
May 18, 2018 - December 31, 2019
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
Essex, CT
Past
June 1, 2009 - May 21, 2018
MORGAN STANLEY
RIA
CRD#: 149777
ESSEX, CT
Past
June 1, 2009 - May 21, 2018
MORGAN STANLEY
BD
CRD#: 149777
ESSEX, CT
Past
October 1, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
ESSEX, CT
Past
October 1, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
ESSEX, CT
Past
October 15, 2004 - October 11, 2007
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
ESSEX, CT
Past
November 21, 1986 - October 11, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ESSEX, CT
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(12/10/2024)
RR
Arizona(1/2/2020)
RR
Arkansas(1/31/2025)
RR
California(1/2/2020)
RR
Colorado(9/13/2022)
RR
Connecticut(1/2/2020)
IAR
Connecticut(1/2/2020)
RR
Florida(1/2/2020)
RR
Georgia(1/17/2025)
RR
Hawaii(4/9/2021)
RR
Indiana(1/2/2020)
RR
Maine(4/22/2021)
RR
Massachusetts(1/2/2020)
RR
New Hampshire(1/2/2020)
RR
New Jersey(1/2/2020)
RR
New Mexico(1/2/2020)
RR
New York(1/2/2020)
RR
North Carolina(1/2/2020)
RR
Ohio(9/1/2020)
RR
Oklahoma(1/17/2025)
RR
Oregon(1/2/2020)
RR
Pennsylvania(1/2/2020)
RR
Rhode Island(1/2/2020)
RR
South Carolina(1/2/2020)
RR
Tennessee(6/17/2020)
RR
Texas(1/2/2020)
IAR
Texas(10/18/2023)
RR
Utah(3/18/2022)
RR
Virginia(1/2/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts 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
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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.
