SS
Steven M. Sinclair
KESTRA ADVISORY SERVICES
Lockport, NY 14094
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CRD#: 2116243
SS
Professional summary
Steven Mark Sinclair is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Lockport, New York and KESTRA INVESTMENT SERVICES, LLC located in Amherst, New York.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Steven has worked at 4 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.
BN: Hospice Alliance Inv Rel: N Addr: 4675 Sunset Dr Lockport NY 14094 NOB: Brd Positions POS: Brd Chairperson STRT Date: 4/1/2009 Hrs per mo: 0% - 10% (0 - 16 Hrs) Hrs per mo during trading Hrs: 0% - 10% (0 - 14 Hrs) DESC: conduct quarterly mtngs and interact with Niagara Hospice Mngmnt BN: Eastern Niagara Hospital Inv Rel: N Addr: 521 East Avenue Lockport NY 14094 NOB: Brd Position POS: Brd Mmbr STRT Date: 4/1/2018 Hrs per mo: 0% - 10% (0 - 16 Hrs) Hrs per mo during trading Hrs: 0% - 10% (0 - 14 Hrs) DESC: Finance Committee BN: Niagara County Community College Foundation Inv Rel: N Addr: 3111 Saunder Settlement Rd Sanborn NY 14132 NOB: Brd Position POS: Brd Mmbr STRT Date: 5/31/2011 Hrs per mo: 0% - 10% (0 - 16 Hrs) Hrs per mo dur trad Hrs: 0% - 10% (0 - 14 Hrs) DESC: Finance Committee BN: Pinnacle Community Services Inv Rel: N Addr: 1522 Main Street Niagara Falls NY 14305 NOB: Brd Position POS: Brd Mmbr STRT Date: 11/1/1995 Hrs per mo: 0% - 10% (0 - 16 Hrs) Hrs per mo durng trad Hrs: 0% - 10% (0 - 14 Hrs) DESC: provide direction & support mngmnt BN: Commercial Real Estate Ownership Inv Rel: N Addr: 122 West Ave Lockport NY 14094 NOB: Real Estate POS: Office Rental STRT Date: 5/1/2019 Hrs per mo: 0% - 10% (0 - 16 Hrs) Hrs per mo durng trad Hrs: 0% - 10% (0 - 14 Hrs) DESC: Maintain office space BN: Sinclair & Associates Inv Rel: Y Addr: 122 West Ave Lockport NY 14094 NOB: Reg Rep Activities thru Kestra Investment Srvcs, LLC using a DBA name POS: President STRT Date: 5/1/2019 Hrs per mo: 71% - 80% (113 - 128 Hrs) Hrs per mo durng trad Hrs: 71% - 80% (99 - 112 Hrs) DESC: Client srvc, BN: KESTRA ADVISORY SERVICES POS: Register Investment Advisor Rep NOB: Investment advisory srvcs thru Kestra Advisory Srvcs, LLC INV REL: Y #OF HRS: 112 SEC TRAD HRS: 112 STRT DATE: 06/01/2021 ADDR: 5707 SW Prkwy, Bldg 2, Ste 400, Austin TX 78735 DESC: Srvc RIA clients BN: NIAGARA HOSPICE ALLIANCE, INC. POS: Brd Chairperson NOB: Brd position INV REL: N #OF HRS: 1 SEC TRAD HRS: 0 STRT DTE: 04/01/2019 ADDR: 4675 Sunset Drive, Lockport NY 14094 DESC: Conduct qtrly mtgs of the Brd . Review & signoff on annual audits . BN: NCCC FOUNDATION POS: Brd Member and Finance Committee Member NOB: Brd position INV REL: No #OF HRS: 1 SEC TRAD HRS: 0 STRT DTE: 05/31/2011 ADDR: 3111 Saunder Settlement Rd., Sanborn NY 14132 DESC: The NCCC Foundation Brd meets 6 times a yr, we oversee the mgmnt of the fndtion, BN: KALOS HEALTH INSURANCE POS: Brd Member NOB: Insurance INV REL: No #OF HRS: 1 SEC TRAD HRS: 0 STRT DATE: 06/01/2012 ADDR: 2424 Niagara Falls Blvd., Niagara Falls NY 14304 DESC: Attend 6 Brd Mtngs /yr &Finance committee mtngs as needed. Review operational, financial &audit reports &advise mgmnt. BN: PINNACLE COMMUNITY SERVICES POS: Brd Treas & mbr of finance committee. NOB: Brd posi (Brd of Directors, Brd of Trustees, etc.) INV REL: N #OF HRS: 2 SEC TRAD HRS: 1 STRT DTE: 11/01/1993 ADDR: 1522 Main Street, Niagara Falls NY 14305 DESC: Attend moly Brd mtgs & provide direction /support for the mgmnt of the org in providing srvcs to the community. Attend finance committee mtgs &assist /oversee management's effort to mntain financial well being of the org as Brd Treasurer. Business: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through KAS, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 06/02/2021 ADDRESS: 5707 SW Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR BN: SINCLAIR & ASSOCIATES POSITION: Owner NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 90 START DATE: 06/01/2021 ADDRESS: 122 West Ave, Suite 100, Lockport NY 14094, United States DESCRIPTION: Operating and managing a investment office offering retirement planning, financial planning, investment management, insurance (life, health and annuity products), basically all elements not directly involved with investment advisory clients.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Mark Sinclair'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
June 2, 2021 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 122 West Avenue, Lockport, NY 14094RIA
CRD#: 283330
Lockport, NY
Current
June 2, 2021 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 616 North French Road, Amherst, NY 14228BD
CRD#: 42046
Amherst, NY
Past
January 13, 2020 - June 3, 2021
CADARET, GRANT & CO., INC.
RIA
CRD#: 10641
LOCKPORT, NY
Past
July 13, 1994 - June 3, 2021
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
LOCKPORT, NY
Past
January 8, 1991 - October 19, 1993
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
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
California(9/13/2021)
RR
Florida(6/2/2021)
RR
Idaho(7/15/2021)
RR
Maryland(6/2/2021)
RR
Nevada(7/15/2022)
RR
New York(6/2/2021)
IAR
New York(6/2/2021)
RR
North Carolina(6/4/2021)
RR
Ohio(6/2/2021)
RR
Pennsylvania(6/2/2021)
RR
South Carolina(6/2/2021)
RR
Texas(6/2/2021)
IAR
Texas(6/2/2021)
RR
Washington(10/19/2021)
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
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Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Lockport, NY 14094TRUST BUT VERIFY
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