RM
Roger L. Mabe
KESTRA ADVISORY SERVICES
Asheboro, NC 27203
Some features on this profile are disabled
CRD#: 1957742
RM
Professional summary
Roger Lee Mabe JR., who also goes by Roger Lee Mabe, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Asheboro, North Carolina and KESTRA INVESTMENT SERVICES, LLC located in Asheboro, North Carolina.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Roger has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roger Lee Mabe
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, 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: IAR Start Date: 12/16/2016 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: financial services Business Name: Mabe Financial Group Investment Related: Yes Address: 919 South Cox St. Suite A2 Asheboro NC 27203 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: registered rep Start Date: 12/16/2016 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: financial services Business Name: YMCA Investment Related: No Address: 343 NC highway 42 N Asheboro NC 27203 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: director Start Date: 1/1/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: helping to make budget decisions for the YMCA
CRS (Client Relationship Summary) - RIA
Click below to view Roger Lee Mabe JR.'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
December 16, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 919 South Cox St. Suite A2, Asheboro, NC 27203RIA
CRD#: 283330
Asheboro, NC
Current
December 16, 2016 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 919 South Cox St. Suite A2, Asheboro, NC 27203BD
CRD#: 42046
Asheboro, NC
Past
October 15, 2007 - December 20, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
ASHEBORO, NC
Past
October 12, 2007 - December 20, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
ASHEBORO, NC
Past
June 10, 2005 - October 22, 2007
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
ASHEBORO, NC
Past
May 26, 2003 - October 22, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ASHEBORO, NC
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
Florida(12/16/2016)
RR
Illinois(9/27/2018)
RR
North Carolina(12/16/2016)
IAR
North Carolina(12/16/2016)
RR
South Carolina(12/16/2016)
RR
Virginia(12/16/2016)
Exams
State Security Law 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.
