Frederick J. Kufta

KESTRA INVESTMENT SERVICES

Austin, TX 78735

Some features on this profile are disabled

CRD#: 2119607

Professional summary

Frederick John Kufta, AIF® is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.

Frederick is registered as a RR (Registered Representative) and started their career in finance in 1991. Frederick has worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Frederick John Kufta's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

November 17, 2021 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 5707 Southwest Parkway Building 2, Ste 400, Austin, TX 78735

CRD#: 42046

Austin, TX

Past

March 31, 2010 - October 23, 2020

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

June 30, 2000 - September 7, 2000

ING FUNDS DISTRIBUTOR, INC.

CRD#: 36461

WILMINGTON, DE

Past

February 9, 1993 - May 13, 2009

DIRECTED SERVICES LLC

CRD#: 21675

WEST CHESTER, PA

Past

January 23, 1991 - October 15, 1992

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

January 23, 1991 - October 15, 1992

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Pennsylvania
(11/17/2021)

Texas
(11/17/2021)

Exams

State Security Law Exam

Series 63

Date: 1/29/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/22/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/17/2002

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046 / SEC#: , 8-49672

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5707 Southwest Parkway 2-125, Austin, TX 78746

Mailing Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Phone number

(844) 553-7872

Established

Texas since 09/01/2014

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

Name	Position	CRD#
KESTRA FINANCIAL, INC	SOLE MEMBER
AMORE, JOHN VINCENT	PRESIDENT	5430932
CHESTER, KRISTEN LAWLESS	CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT	6896952
KANT, VINAY	CHIEF DIGITAL TECHNOLOGY OFFICER	7976827
PEDLOW, MICHAEL ROSS	CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT	4871563
POER, JAMES LYNN	CHIEF EXECUTIVE OFFICER	1983357
SCHOENBECK, MARK PAUL	EXECUTIVE VICE PRESIDENT	2625829
YIN, YIN	CONTROLLER	3219513
ZEGERS, SCOTT MATTHEW	CHIEF FINANCIAL OFFICER	4831659

Disclosures

Regulatory Event	14
Arbitration	2

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.

Similar Advisors

Steven Gallegos

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Austin, TX

Eric Pomerantz

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Austin, TX

Jeffrey Weeks

ATX PORTFOLIO ADVISORS, LLC

IAR

Austin, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Frederick J. Kufta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Frederick John Kufta's CRS (Customer Relationship Summary).

Certified licenses

Experience

LINCOLN FINANCIAL DISTRIBUTORS, INC.

ING FUNDS DISTRIBUTOR, INC.

DIRECTED SERVICES LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/29/1991

SIE

Date: 10/1/2018

Series 6

Date: 1/22/1991

Series 26

Date: 12/17/2002

FINRA

Current Firm

KESTRA INVESTMENT SERVICES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

KESTRA INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors