WK
William J. Krivicich
KESTRA PRIVATE WEALTH SERVICES
Middletown, NY 10941
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CRD#: 2059402
WK
Professional summary
William Joseph Krivicich is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in Middletown, New York and KESTRA INVESTMENT SERVICES, LLC located in Middletown, New York.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. William has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 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.
Business Name: Mundi Financial Investment Related: Yes Address: 90 Crystal Run Road, Suite 101 Middletown NY 10941 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through an independent outside RIA Position, Title or Relationship: Founder of Branch/ Advisor Start Date: 8/16/2019 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Provide financial planning and asset management to individuals. Needs analysis, portfolio construction, investment sections, research portfolio implementation, monitoring, and commuting to clients
CRS (Client Relationship Summary) - RIA
Click below to view William Joseph Krivicich'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
August 21, 2019 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #1: 90 Crystal Run Road Suite 101, Middletown, NY 10941RIA
CRD#: 155193
Middletown, NY
Current
August 26, 2019 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 90 Crystal Run Road Suite 101, Middletown, NY 10941BD
CRD#: 42046
Middletown, NY
Past
August 21, 2019 - August 26, 2019
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Middletown, NY
Past
March 27, 2015 - September 19, 2019
GARY GOLDBERG PLANNING SERVICES
RIA
CRD#: 173565
SUFFERN, NY
Past
March 25, 2015 - September 19, 2019
GARY GOLDBERG & CO., LLC
BD
CRD#: 47957
FISHKIILL, NY
Past
May 14, 2003 - April 23, 2015
GARY GOLDBERG PLANNING SERVICES INC
RIA
CRD#: 110784
SUFFERN, NY
Past
December 14, 1998 - April 23, 2015
GARY GOLDBERG & CO., INC.
BD
CRD#: 6482
SUFFERN, NY
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".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 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
Alabama(4/22/2022)
RR
Arizona(8/26/2019)
RR
California(10/30/2025)
RR
Connecticut(8/26/2019)
RR
Delaware(8/26/2019)
RR
Florida(8/26/2019)
RR
Georgia(8/26/2019)
RR
Idaho(3/19/2025)
RR
Illinois(8/26/2019)
RR
Indiana(8/26/2019)
RR
Maryland(8/26/2019)
RR
Massachusetts(8/26/2019)
RR
New Hampshire(11/13/2025)
RR
New Jersey(8/26/2019)
RR
New Mexico(8/26/2019)
RR
New York(8/26/2019)
IAR
New York(7/10/2021)
RR
North Carolina(9/24/2019)
RR
Pennsylvania(8/26/2019)
RR
South Carolina(12/1/2020)
RR
Tennessee(9/21/2022)
RR
Texas(9/20/2022)
IAR
Texas(9/21/2022)
RR
Virginia(8/26/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
198
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
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.
Company Information
KESTRA PRIVATE WEALTH SERVICES, LLC
CRD#: 155193Middletown, NY 10941TRUST BUT VERIFY
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