BR
Beth A. Richardson
KESTRA ADVISORY SERVICES
CASTLE ROCK, CO 80108
Some features on this profile are disabled
CRD#: 2056964
BR
Professional summary
Beth Ann Richardson, CFP®, who also goes by Beth Ann Sindrich, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Castle Rock, Colorado and KESTRA INVESTMENT SERVICES, LLC located in Castle Rock, Colorado.
Beth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Beth has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Beth Ann Sindrich
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: Five Story Investments Investment Related: No Address: 1490 S Pearl Street Denver CO 80210 Nature of Business: Real Estate Position, Title or Relationship: Limited partner - 10% ownership Start Date: 2/11/1997 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Occasional bill paying, limited dutiesBusiness Name: Maleta Lane LLC Investment Related: No Address: 757 Maleta Lane Ste. # 202, #203, #204 Castle Rock CO 80108 Nature of Business: Real Estate Position, Title or Relationship: Owner/property manager Start Date: 9/1/2013 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Oversee all responsibilities for the buildingBusiness Name: Maleta Wealth Management Investment Related: Yes Address: 757 Maleta Lane Suite 204 Castle Rock CO 80108 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: RR, CFP, Owner Start Date: 12/15/2013 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: Financial Planning and wealth management, insurance brokerBusiness 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 Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory servicesBusiness Name: Overlook Professional Offices Condo's Treasurer Investment Related: No Address: 757 Maleta Lane, Suite 204 Castle Rock CO 80108 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.); Real Estate Position, Title or Relationship: board member, building owner of Maleta Lane, LLC Start Date: 1/1/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Research and make decisions for condo expenditures, held accountable to the owners of these condosBusiness Name: Fox Street Rental house Investment Related: No Address: 1991 S. Fox Street Denver CO 80223 Nature of Business: Real Estate Position, Title or Relationship: owner/landlord Start Date: 9/20/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: owner/management of the propertyBusiness Name: Beth Richardson Investment Related: Yes Address: 1995 S Fox Street Denver CO 80223 Nature of Business: Real Estate Position, Title or Relationship: owner Start Date: 8/1/2021 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: managing expenses and and the property BELLWETHER PLACE HOA POSITION: Treasurer NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2021 ADDRESS: 10107 Bellwether Lane, Suite 204, Lone Tree CO 80124, United States DESCRIPTION: approve expenses
CRS (Client Relationship Summary) - RIA
Click below to view Beth Ann Richardson'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®
CFP®
Start date: 1994
Experience
Current
April 21, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 757 Maleta Lane Suite 204, Castle Rock, CO 80108RIA
CRD#: 283330
CASTLE ROCK, CO
Current
June 10, 1999 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 757 Maleta Lane, Suite 204, Castle Rock, CO 80108BD
CRD#: 42046
Castle Rock, CO
Past
December 31, 2001 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
DENVER, CO
Past
January 5, 1996 - June 14, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
August 3, 1990 - January 11, 1996
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 3, 1990 - January 11, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Arizona(1/8/2004)
RR
Arkansas(2/13/2017)
RR
California(7/9/1999)
RR
Colorado(6/10/1999)
IAR
Colorado(4/21/2016)
RR
Delaware(1/9/2003)
RR
Florida(1/19/2005)
RR
Indiana(12/8/2023)
RR
Iowa(5/20/2016)
RR
Michigan(6/28/2011)
RR
Minnesota(9/4/2012)
RR
Missouri(2/25/2011)
RR
Montana(5/6/2011)
RR
Nebraska(3/21/2012)
RR
New Jersey(7/2/2021)
RR
New York(6/10/1999)
RR
North Carolina(1/8/2004)
RR
Oklahoma(3/5/2014)
RR
Oregon(10/7/2016)
RR
Pennsylvania(1/14/2019)
RR
South Carolina(1/19/2007)
RR
South Dakota(8/30/2012)
RR
Tennessee(6/15/1999)
RR
Texas(6/10/1999)
IAR
Texas(7/26/2023)
RR
Washington(2/20/2015)
RR
Wyoming(3/17/2003)
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.
