John A. Shalek

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CRD#: 1803360

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 Allen Shalek was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1988. John had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 22 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: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 06/15/2023 ADDRESS: 5707 Southwest Parkway, Building 2 suite2, Austin TX 78735 DESCRIPTION: Advisory to clients Business Name: LAKEVIEW WEALTH POSITION: Reg Rep NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 06/15/2023 ADDRESS: 155 S. Executive Drive, Suite 202, Brookfield WI 53005 DESCRIPTION: DRA for Kestra Business Business Name: ST CAMILLUS FOUNDATION POSITION: Board Vice member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2010 ADDRESS: 10005 west Bluemound, Wauwatosa WI 53122 DESCRIPTION: Oversite activities

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

June 15, 2023 - December 31, 2023

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Brookfield, WI

Past

June 15, 2023 - December 31, 2023

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Brookfield, WI

Past

September 8, 2022 - June 15, 2023

CETERA ADVISORS LLC

CRD#: 10299

Brookfield, WI

Past

November 12, 2020 - June 15, 2023

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

BROOKFIELD, WI

Past

May 30, 2008 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

Brookfield, WI

Past

January 3, 2007 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

BROOKFIELD, WI

Past

July 14, 1993 - January 3, 2007

FFP ADVISORY SERVICES INC

RIA

CRD#: 110778

BROOKFIELD, WI

Past

June 11, 1993 - May 30, 2008

FFP SECURITIES, INC.

CRD#: 16337

BROOKFIELD, WI

Past

October 19, 1992 - June 7, 1993

GENEVA SECURITIES,INC.

CRD#: 16178

SCHAUMBURG, IL

Past

May 3, 1989 - September 30, 1992

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 19, 1988 - April 12, 1989

EQUABLE SECURITIES CORPORATION

CRD#: 7405

MILWAUKEE, WI

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

Series 63

Date: 3/11/1988

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: 5/20/1989

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 3/22/1988

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 3/4/1988

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 A. Shalek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

CETERA ADVISORS LLC

CETERA INVESTMENT ADVISERS LLC

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED ADVISORY SERVICES, INC.

FFP ADVISORY SERVICES INC

FFP SECURITIES, INC.

GENEVA SECURITIES,INC.

MORGAN STANLEY DW INC.

EQUABLE SECURITIES CORPORATION

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/11/1988

SIE

Date: 10/1/2018

Series 7

Date: 5/20/1989

Series 22

Date: 3/22/1988

Series 6

Date: 3/4/1988

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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