RD
Robert W. Davis
KESTRA ADVISORY SERVICES
Paramus, NJ 07652
Some features on this profile are disabled
CRD#: 2137957
RD
Professional summary
Robert Whittington Davis, CFP®, who also goes by Robert W Davis, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Paramus, New Jersey and KESTRA INVESTMENT SERVICES, LLC located in Paramus, New Jersey.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Robert has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert W Davis
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: Wealth Preservation Soutions Investment Related: Yes Address: 257 E. Ridgewood Ave #305 Ridgewood NJ 07450 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: Owner Start Date: 3/1/2008 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: Establish and service client accounts in the investment and insurance marketplaceBusiness Name: Claris Advisors LLC Investment Related: Yes Address: 257 E. Ridgewood Ave. Suite 305 Ridgewood NJ 07450 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: Employee sales rep Start Date: 9/1/2014 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: Solicit clients for insurance and investment related businessBusiness 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: Medicare BackOffice Investment Related: Yes Address: 8420 West Dodge Road, 5th Floor Omaha NE 68114 Nature of Business: Insurance Position, Title or Relationship: I have no position or title but simply a CFP referring clients to this organization for their Medicare healthcare needs Start Date: 11/25/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I have no duties or obligations to this activity
CRS (Client Relationship Summary) - RIA
Click below to view Robert Whittington Davis'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: 2002
Experience
Current
April 26, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 45 Eisenhower Drive Suite 550, Paramus, NJ 07652RIA
CRD#: 283330
Paramus, NJ
Current
February 25, 2008 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 45 Eisenhower Drive Suite 550, Paramus, NJ 07652BD
CRD#: 42046
Paramus, NJ
Past
February 25, 2008 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
NEW YORK, NY
Past
April 13, 2004 - February 26, 2008
OSAIC FA, INC.
RIA
CRD#: 3978
ROCHELLE PARK, NJ
Past
February 10, 2003 - April 3, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
February 10, 2003 - February 26, 2008
OSAIC FA, INC.
BD
CRD#: 3978
ROCHELLE PARK, NJ
Past
May 3, 1991 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
May 3, 1991 - February 7, 2003
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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(11/12/2014)
RR
California(11/22/2022)
RR
Colorado(6/21/2024)
RR
Connecticut(2/10/2015)
RR
Delaware(10/31/2016)
RR
Florida(2/25/2008)
RR
Georgia(9/16/2024)
RR
Michigan(5/19/2010)
RR
New Jersey(2/25/2008)
IAR
New Jersey(4/26/2016)
RR
New Mexico(6/3/2016)
RR
New York(2/25/2008)
RR
North Carolina(5/6/2013)
RR
Ohio(7/14/2015)
RR
Pennsylvania(4/1/2011)
RR
South Carolina(10/12/2010)
RR
Texas(1/4/2013)
IAR
Texas(7/27/2023)
Exams
State Security Law Exam
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.
