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Alfredo Dipinto
KESTRA ADVISORY SERVICES
Clinton, NC 28328
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CRD#: 1882941
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Professional summary
Alfredo Dipinto is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Clinton, North Carolina and KESTRA INVESTMENT SERVICES, LLC located in Clinton, North Carolina.
Alfredo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Alfredo has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.
Name: Legacy Asset Management Partners LLC Investment Related: Yes Address: 101 Wall St. Clinton NC 28328 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: Investment advisor Start Date: 3/29/2018 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: meeting with clients and establishing objectives and advising them on proper investment allocation and ongoing monitoring of those investments Name: Alfredo's Ristorante Italilano LLC Investment Related: No Address: 101 Wall St. Clinton NC 28328 Nature of Business: Other Other/None of the Above Full service restaurant Position, Title or Relationship: owner Start Date: 4/26/2010 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: own and operate restuarant 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: Investment Advisor Start Date: 3/28/2018 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: determining investment objectives and risk tolerances for clients and then recommending strategies for obtaining client goals Name: Alfredo DiPinto - Notary Public Investment Related: No Address: 19 Sprunt Dr Clinton NC 28328 Nature of Business: Other Other/None of the Above None of the above Position, Title or Relationship: I am the Notary Start Date: 1/1/2008 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Occasionally notarizing documents for NO fee Name: ALFREDO'S RISTORANTE ITALILANO LLC POSITION: owner NATURE: Full service restaurant INVESTMENT RELATED: No # OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 04/26/2010 ADDRESS: 101 Wall St., Clinton NC 28328, United States DESCRIPTION: own and operate restaurant
CRS (Client Relationship Summary) - RIA
Click below to view Alfredo Dipinto'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
March 26, 2018 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 101 Wall St, Clinton, NC 28328RIA
CRD#: 283330
Clinton, NC
Current
March 26, 2018 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 101 Wall St., Clinton, NC 28328BD
CRD#: 42046
Clinton, NC
Past
January 1, 2008 - March 14, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CLINTON, NC
Past
January 1, 2008 - March 14, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CLINTON, NC
Past
April 22, 2004 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
FAYETTEVILLE, NC
Past
April 17, 1989 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
FAYETTEVILLE, NC
Past
October 5, 1988 - April 27, 1989
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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
Arkansas(1/4/2021)
RR
California(3/26/2018)
RR
Colorado(5/2/2019)
RR
Delaware(12/8/2021)
RR
Florida(3/26/2018)
RR
Georgia(3/26/2018)
RR
Illinois(3/26/2018)
RR
Indiana(3/26/2018)
RR
Kentucky(6/27/2018)
RR
Maryland(7/31/2018)
RR
Massachusetts(4/8/2025)
RR
Michigan(3/26/2018)
RR
Minnesota(5/29/2020)
RR
Missouri(3/26/2018)
RR
Nevada(3/26/2018)
RR
New Jersey(7/9/2021)
RR
New Mexico(1/2/2025)
RR
New York(6/14/2021)
RR
North Carolina(3/26/2018)
IAR
North Carolina(3/26/2018)
RR
Ohio(3/26/2018)
RR
Pennsylvania(3/26/2018)
RR
South Carolina(3/26/2018)
RR
Texas(3/26/2018)
IAR
Texas(3/27/2018)
RR
Virginia(3/26/2018)
RR
Washington(8/3/2018)
RR
West Virginia(6/20/2018)
RR
Wisconsin(1/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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.
