JC
Jay H. Cavanagh
KESTRA ADVISORY SERVICES
Plymouth, MN 55441
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CRD#: 2159026
JC
Professional summary
Jay Hale Cavanagh, who also goes by Jay H Cavanagh, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Plymouth, Minnesota and KESTRA INVESTMENT SERVICES, LLC located in Plymouth, Minnesota.
Jay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Jay has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jay H Cavanagh
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: 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 Business Name: The KNW Group Investment Related: Yes Address: Suite 250 4350 Baker Road Minnetonka MN 55343 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance Position, Title or Relationship: Partner Start Date: 11/1/2002 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: sales, business management Business Name: NFP POSITION: Senior Vice President NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 240 SECURITIES TRADING HOURS: 240 START DATE: 12/07/2023 ADDRESS: 505 waterford park highway 169N #1100, plymouth MN 55441 DESCRIPTION: see 1.13 above
CRS (Client Relationship Summary) - RIA
Click below to view Jay Hale Cavanagh'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
April 19, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 505 Waterford Park Highway 169 N, Suite 1100, Plymouth, MN 55441RIA
CRD#: 283330
Plymouth, MN
Current
January 3, 2006 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 505 Hwy 169 N, Suite 1100, Plymouth, MN 55441BD
CRD#: 42046
Plymouth, MN
Past
July 1, 2014 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
Plymouth, MN
Past
January 10, 2003 - January 4, 2006
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
MINNETONKA, MN
Past
January 2, 2003 - January 4, 2006
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
August 26, 1991 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
August 26, 1991 - January 6, 2003
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, 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".
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(1/2/2008)
RR
Florida(1/3/2006)
RR
Georgia(3/21/2024)
RR
Illinois(6/8/2017)
RR
Indiana(11/1/2024)
RR
Iowa(1/3/2006)
RR
Minnesota(1/3/2006)
IAR
Minnesota(4/19/2016)
RR
Nebraska(1/23/2017)
RR
New Mexico(1/3/2006)
RR
North Carolina(10/13/2015)
RR
North Dakota(7/16/2018)
RR
South Dakota(1/3/2006)
RR
Tennessee(10/22/2024)
RR
Wisconsin(1/3/2006)
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.
