RE
Rickey C. Ernzen
KESTRA ADVISORY SERVICES
Fort Worth, TX 76102
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CRD#: 2473135
RE
Professional summary
Rickey Charles Ernzen, CFP®, who also goes by Rick Charles Ernzen, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Fort Worth, Texas and KESTRA INVESTMENT SERVICES, LLC located in Fort Worth, Texas.
Rickey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Rickey has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Charles Ernzen
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: Higginbotham Investment Related: Yes Address: 500 W 13th St Fort Worth TX 76102 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Vice President Retirement Plan Specialist Start Date: 8/30/2019 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Assist business owners in evaluating and implementing retirement plans and executive benefitsBusiness 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: IAR Start Date: 8/30/2019 Hours per month: 71% - 80% (113 - 128 hours) Hours per month during trading hours: 71% - 80% (99 - 112 hours) Duties: IAR
CRS (Client Relationship Summary) - RIA
Click below to view Rickey Charles Ernzen'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: 2018
Experience
Current
September 3, 2019 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 500 W 13th Street, Fort Worth, TX 76102RIA
CRD#: 283330
Fort Worth, TX
Current
September 3, 2019 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 500 W. 13th, Fort Worth, TX 76102BD
CRD#: 42046
Fort Worth, TX
Past
March 27, 2008 - May 27, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
CENTENNIAL, CO
Past
December 8, 1995 - March 18, 2008
AMERICAN CENTURY INVESTMENT SERVICES INC.
BD
CRD#: 17437
KANSAS CITY, 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
Arkansas(9/18/2024)
RR
California(6/28/2022)
RR
Florida(8/1/2024)
RR
Georgia(4/11/2023)
RR
Kansas(7/12/2022)
RR
Michigan(7/8/2020)
RR
North Carolina(2/23/2022)
RR
Rhode Island(12/10/2024)
RR
Texas(9/3/2019)
IAR
Texas(9/3/2019)
Exams
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.
