JG
John G. Gustafson
KESTRA ADVISORY SERVICES
Chappaqua, NY 10514
Some features on this profile are disabled
CRD#: 2409230
JG
Professional summary
John Gary Gustafson is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Chappaqua, New York and KESTRA INVESTMENT SERVICES, LLC located in Chappaqua, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. John has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
Business Name: Ash Brokerage Investment Related: No Address: 7609 W Jefferson Blvd Fort Wayne IN 46804 Nature of Business: Insurance Position, Title or Relationship: Other,I have no role. They are my general agent for life insurance Start Date: 4/20/2003 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I use Ash for my clients insurance needs. We underwrite cases thorough them. Business Name: Gustafson Wealth Management Investment Related: Yes Address: 57 S Bedford Road Chappaqua NY 10514 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Owner Start Date: 1/15/2014 Hours per month: 81% - 90% (129 - 144 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Client investment advice 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: Westchester Benefits Investment Related: No Address: Columbus Avenue Valhalla NY 10595 Nature of Business: Insurance Position, Title or Relationship: Other,I have no role. I write health insurance and long term care through them Start Date: 4/20/2003 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Insurance sales
CRS (Client Relationship Summary) - RIA
Click below to view John Gary Gustafson'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 22, 2021 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 57 South Bedford Road Suite 1-n, Chappaqua, NY 10514RIA
CRD#: 283330
Chappaqua, NY
Current
November 18, 2003 - Present
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Chappaqua, NY
Past
February 27, 1995 - November 20, 2003
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
October 19, 1993 - December 31, 1994
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, 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
California(11/13/2006)
RR
Connecticut(11/18/2003)
RR
Delaware(3/29/2004)
RR
Florida(1/14/2004)
RR
Georgia(1/2/2013)
RR
Illinois(5/24/2011)
RR
New Jersey(11/18/2003)
RR
New York(11/18/2003)
IAR
New York(6/22/2021)
RR
North Carolina(11/26/2007)
RR
Pennsylvania(10/17/2014)
RR
South Carolina(5/24/2011)
RR
Tennessee(5/15/2012)
RR
Texas(3/19/2007)
RR
Virginia(1/24/2007)
Exams
State Security Law Exam
State Security Law 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.
