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DR

David P. Rottschafer

KESTRA ADVISORY SERVICES
PEACHTREE CITY, GA 30269
CRD#: 2410589
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DR
David Paul RottschaferKESTRA ADVISORY SERVICES

Professional summary

David Paul Rottschafer, CFP®, who also goes by David Rottschafer, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Peachtree City, Georgia and KESTRA INVESTMENT SERVICES, LLC located in Peachtree City, Georgia.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. David has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

David Rottschafer

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) - RIA

Click below to view David Paul Rottschafer'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®
CFP®

Certified Financial Planner

Start date: 2008

Experience

Current

January 29, 2024 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 271 Highway 74 N Suite 4, Peachtree City, GA 30269
RIA
CRD#: 283330
PEACHTREE CITY, GA
Current

January 29, 2024 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 271 Hwy 74 N Suite 4, Peachtree City, GA 30269
BD
CRD#: 42046
Peachtree City, GA
Past

January 1, 2004 - February 8, 2024

CETERA ADVISORS LLC

RIA
CRD#: 10299
PEACHTREE CITY, GA
Past

January 1, 2004 - February 8, 2024

CETERA ADVISORS LLC

BD
CRD#: 10299
PEACHTREE CITY, GA
Past

April 23, 2003 - January 1, 2004

IFG ADVISORY SERVICES INC

RIA
CRD#: 105316
NORCROSS, GA
Past

April 12, 2001 - January 2, 2004

IFG NETWORK SECURITIES, INC.

BD
CRD#: 19948
ATLANTA, GA
Past

December 7, 1999 - April 16, 2001

EISNER SECURITIES, INC.

BD
CRD#: 40585
ST. LOUIS, MO
Past

May 25, 1999 - January 24, 2000

TRIAD ADVISORS LLC

BD
CRD#: 25803
ATLANTA, GA
Past

February 22, 1994 - July 15, 1999

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

December 20, 1993 - November 18, 1994

STEIN, SHORE SECURITIES, INC.

BD
CRD#: 31294
ORLANDO, FL

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
Alabama
(1/29/2024)
RR
Arizona
(1/29/2024)
RR
Delaware
(1/29/2024)
RR
Florida
(1/29/2024)
RR
Georgia
(1/29/2024)
IAR
Georgia
(1/31/2024)
RR
Illinois
(1/29/2024)
RR
Indiana
(1/29/2024)
RR
Louisiana
(1/29/2024)
RR
Maine
(1/29/2024)
RR
Massachusetts
(12/10/2024)
RR
New Jersey
(1/29/2024)
RR
New York
(1/29/2024)
RR
North Carolina
(2/12/2024)
RR
Ohio
(1/29/2024)
RR
South Carolina
(1/29/2024)
RR
Texas
(1/29/2024)
IAR
Texas
(1/29/2024)
RR
Utah
(1/29/2024)
RR
Virginia
(1/29/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/7/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/29/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 9/24/1993
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/20/2002
General Securities Principal Examination
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)
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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)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (11/24/2025)
KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (11/24/2025)
KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (11/24/2025)

Regulatory assets under management

Total Number of Accounts155,482
AUM (Assets Under Management)$ 60,174,309,829

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/01/2025
Cover Page
Report
12/23/2024
Cover Page
Report
10/20/2023
Cover Page
Report

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.

Company Information

KESTRA ADVISORY SERVICES, LLC

CRD#: 283330Peachtree City, GA 30269

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