Willard L. Pugh

KESTRA ADVISORY SERVICES

Boca Raton, FL 33431

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CRD#: 1757428

Professional summary

Willard Louis Pugh is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Boca Raton, Florida and KESTRA INVESTMENT SERVICES, LLC located in Boca Raton, Florida.

Willard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Willard has worked at 16 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.

Business Name: KESTRA ADVISORY SERVICES POS: IAR NOB: Investment advisory services through Kestra Advisory Services, LLC INV REL: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/01/2024 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735 DESC: IAR Business Name: WEALTH EMPOWERMENT FINANCIAL POS: Wealth management Advisor NOB: Insurance INV REL: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/01/2024 ADDRESS: 2424 north federal highway, ste 400, Boca Raton FL 33431 DESC: Financial planning and portfolio management

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Willard Louis Pugh'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®

None

Experience

Current

October 1, 2024 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 2424 North Federal Hwy #400, Boca Raton, FL 33431

RIA

CRD#: 283330

Boca Raton, FL

Current

October 1, 2024 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 2424 North Federal Highway Suite 400, Boca Raton, FL 33431

CRD#: 42046

Boca Raton, FL

Past

July 22, 2022 - October 30, 2024

CRD#: 468

BOSTON, MA

Past

June 15, 1988 - August 24, 1988

IDS LIFE INSURANCE COMPANY

CRD#: 6321

Past

June 15, 1988 - August 24, 1988

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

February 17, 1988 - March 10, 1988

INVESTOCK & CO., INC.

CRD#: 19926

Past

November 25, 1987 - February 24, 1988

FIRST FLORIDA SECURITIES GROUP, INC.

CRD#: 14320

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
(10/1/2024)

California
(10/1/2024)

Florida
(10/1/2024)

IAR

Florida
(10/8/2024)

Georgia
(10/2/2024)

Indiana
(10/2/2024)

Kansas
(10/1/2024)

Maryland
(10/1/2024)

Massachusetts
(10/2/2024)

Minnesota
(10/2/2024)

Missouri
(10/31/2024)

New Jersey
(10/1/2024)

New York
(10/1/2024)

North Carolina
(10/31/2024)

Oregon
(10/1/2024)

Pennsylvania
(10/16/2025)

Puerto Rico
(10/1/2024)

Rhode Island
(10/1/2024)

South Carolina
(10/1/2024)

Tennessee
(10/1/2024)

Texas
(10/1/2024)

IAR

Texas
(10/1/2024)

Vermont
(10/1/2024)

Virginia
(10/1/2024)

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: 1/14/2003

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: 11/21/1987

General Securities Representative 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) (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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Advisor Monitoring

Firm Stability Insights

Willard L. Pugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Willard Louis Pugh's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

DAWSON JAMES ASSET MANAGEMENT, INC.

DAWSON JAMES SECURITIES, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

ASSET PLANNING CORPORATION

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

INVESTOCK & CO., INC.

FIRST FLORIDA SECURITIES GROUP, INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/14/2003

SIE

Date: 10/1/2018

Series 7

Date: 11/21/1987

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

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