Robert E. Evans
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.
Robert Edward Evans was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1968. Robert had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2016 - February 1, 2022
KESTRA ADVISORY SERVICES, LLC
July 15, 2014 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
September 13, 2000 - February 1, 2022
KESTRA INVESTMENT SERVICES, LLC
January 30, 1974 - April 11, 1980
TOWER SQUARE SECURITIES, INC.
January 29, 1973 - August 1, 1977
VERAVEST INVESTMENTS, INC.
February 16, 1971 - August 1, 1977
ALLMERICA FINANCIAL LIFE INSURANCE AND ANNUITY COMPANY
August 27, 1968 - October 2, 2000
BERKSHIRE EQUITY SALES, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 8/23/1968
Registered Representative ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
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.
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