KG
Kenneth W. Graber
KESTRA ADVISORY SERVICES
SMITHSBURG, MD 21783
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CRD#: 2090058
KG
Professional summary
Kenneth William Graber, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Smithsburg, Maryland and KESTRA INVESTMENT SERVICES, LLC located in Smithsburg, Maryland.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Kenneth has worked at 8 firms and has passed the 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: The Mathias Washington County Charitable Trust Investment Related: No Address: 12019 Bayer Dr Smithsburg MD 21783 Nature of Business: Community/Charitable/Civic Volunteer (Non-Leadership Position) Position, Title or Relationship: Other,Trustee Start Date: 11/15/2004 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: I manage the investment funds, authorize disbursements to charities, and prepare the trust tax returns. Name: Graber Financial Services Inc. Investment Related: Yes Address: 12019 Bayer Drive Smithsburg MD 21783 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC; Tax/Accounting/CPA Position, Title or Relationship: President Start Date: 11/15/2004 Hours per month: 81% - 90% (129 - 144 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: I solicit new business, advise clients on investment strategies, engage in personal financial planning and actively manage client investment portfolios 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 services Name: Tabitha's Table Inc. Investment Related: No Address: 17 South Main St Smithsburg MD 21783 Nature of Business: Community/Charitable/Civic Position, Title or Relationship: Non Profit Corporation Start Date: 8/14/2014 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Board menber Name: Graber Investments, LLC Investment Related: Yes Address: 12019 Bayer Drive Smithsburg MD 21783 Nature of Business: Other Other/None of the Above We invest for our own account Position, Title or Relationship: Partner Start Date: 5/10/2005 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I make the investment decisions MT Name: HOPE PRISON MINISTRY POSITION: Board member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/06/2021 ADDRESS: 25 Summit Ave, Hagerstown MD 21740, United States DESCRIPTION: The board meets twice per year to discuss current operations and the status of the various programs offered. Minor , day to day decisions are left to the executive director, while major decisions are made at the board level. Name: HAGERSTOWN HELPING HANDS INC. POSITION: Resident agent, bookkeeper NATURE: Non Profit INVESTMENT RELATED: No # OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2023 ADDRESS: C/O Valen Meadows, 12827 Hammaker Lane, Smithsburg MD 21783 DESCRIPTION: I will serve as the resident agent for the state of Maryland, and will keep the books. I will also prepare any annual tax filings required.
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth William Graber'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: 1992
Experience
Current
April 21, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 12019 Bayer Drive, Smithsburg, MD 21783RIA
CRD#: 283330
SMITHSBURG, MD
Current
December 16, 2009 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 12019 Bayer Drive, Smithsburg, MD 21783BD
CRD#: 42046
Smithsburg, MD
Past
December 16, 2009 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
SMITHSBURG, MD
Past
July 12, 2000 - December 31, 2009
MEDALLION ADVISORY SERVICES, LLC
RIA
CRD#: 113788
SMITHSBURG, MD
Past
January 4, 1999 - December 31, 2009
MEDALLION INVESTMENT SERVICES, INC.
BD
CRD#: 45314
SMITHSBURG, MD
Past
January 17, 1997 - December 31, 1998
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
KNOXVILLE, TN
Past
January 1, 1996 - December 31, 1996
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
January 4, 1993 - January 1, 1996
COMPREHENSIVE FINANCIAL SERVICES, INC.
BD
CRD#: 22710
Past
October 23, 1990 - January 5, 1993
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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(3/29/2022)
RR
Maryland(12/16/2009)
IAR
Maryland(4/21/2016)
RR
Pennsylvania(1/4/2010)
RR
South Carolina(2/8/2012)
RR
West Virginia(1/4/2010)
Exams
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.
