KB
Keith A. Borgfeldt
KESTRA ADVISORY SERVICES
Sugar Land, TX 77479
Some features on this profile are disabled
CRD#: 2192171
KB
Professional summary
Keith Andrew Borgfeldt, who also goes by Keith A Borgfeldt, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Sugar Land, Texas and KESTRA INVESTMENT SERVICES, LLC located in Sugar Land, Texas.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Keith has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Keith A Borgfeldt
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, Ste 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: IAR Start Date: 5/12/2017 Hours per month: 51% - 60% (81 - 96 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: Independent advisor Business Name: Spartan Wealth Management LLC Investment Related: Yes Address: 4690 Sweetwater Blvd., Ste 280 Sugar Land TX 77479 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: President Start Date: 7/1/2010 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 71% - 80% (99 - 112 hours) Duties: Oversee all daily activities of the firm. Work directly with clients to manage their wealth and their overall financial picture. Business Name: Fort Bend Chamber of Commerce FBCC Investment Related: No Address: 445 Commerce Green Blvd. Sugar Land TX 77478 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Board Member & Treasurer Start Date: 11/15/2018 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Review the organization's financials and report back to Board. Also, if checks need to be written for over $2,500 I will 1 of 6 board members that will have the ability to be the second signature on the checks. I will have not direct access to any funds. Business Name: Fort Bend Chamber of Commerce Investment Related: No Address: Fort Bend Chamber of Commerce Sugar Land TX 77479 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Treasurer Start Date: 11/1/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Report financials to the Chamber Board. Co-sign checks as necessary. I will not have direct access to any funds and because checks need to signatures I would occasionally co-sign a check. Business Name: CULLINAN PARK CONSERVANCY POSITION: Board Member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 03/01/2022 ADDRESS: 12414 Highway 6 S, Sugar Land TX 77478 DESCRIPTION: Attend board meetings and provide input and guidance to help enhance Cullinan Park. Business Name: BORG PROPERTIES LLC POSITION: Manager and Member NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/13/2020 ADDRESS: 4707 Dunleigh Ct, Sugar Land TX 77479 DESCRIPTION: Maintain the building and financials associated with building. Business Name: HOPE FOR THREE POSITION: Treasurer & Board Member NATURE: Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 09/01/2022 ADDRESS: 1650 Hwy 6, Ste 150, Sugar Land TX 77478 DESCRIPTION: Review organization financials Support organizational mission - I will not present investment opportunities to the board.- I will not give specific investment advice to the organization.- I will not be the deciding vote on investment decisions.- I will not be the rep of record for any investment accounts of the entity.- I will not participate in or advise on any decisions related to investment banking or raising of capital. Charitable fundraising may be allowable.
CRS (Client Relationship Summary) - RIA
Click below to view Keith Andrew Borgfeldt'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
May 12, 2017 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 4690 Sweetwater Blvd. Ste 280, Sugar Land, TX 77479Office #2: 6530 Greatwood Pkwy Suite A, Sugar Land, TX 77479RIA
CRD#: 283330
Sugar Land, TX
Current
May 12, 2017 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 6530 Greatwood Pkwy Suite A, Sugar Land, TX 77479BD
CRD#: 42046
Sugar Land, TX
Past
January 18, 2008 - May 16, 2017
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
SUGARLAND, TX
Past
January 18, 2008 - May 16, 2017
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
SUGARLAND, TX
Past
June 19, 2002 - February 1, 2008
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HOUSTON, TX
Past
April 30, 2002 - February 1, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 17, 2000 - March 1, 2002
TRADECAST SECURITIES, LTD.
BD
CRD#: 45501
HOUSTON, TX
Past
December 12, 1994 - July 27, 1998
COASTALBANC FINANCIAL CORPORATION
BD
CRD#: 24900
HOUSTON, TX
Past
February 19, 1992 - April 15, 1993
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
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
Colorado(5/12/2017)
RR
Connecticut(1/23/2025)
RR
Georgia(8/4/2023)
RR
Illinois(8/14/2023)
RR
Kentucky(8/15/2023)
RR
Michigan(11/18/2019)
RR
Mississippi(7/7/2023)
RR
New Mexico(6/13/2022)
RR
North Carolina(7/12/2023)
RR
Ohio(7/7/2025)
RR
Oregon(8/4/2023)
RR
Tennessee(7/7/2023)
RR
Texas(5/12/2017)
IAR
Texas(5/12/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
