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JD

John L. Dziubela

KESTRA INVESTMENT SERVICES
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 2487970
JD

Professional summary

John Lawrance Dziubela is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Boca Raton, Florida.

John is registered as a RR (Registered Representative) and started their career in finance in 1994. John has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Lawrance Dziubela'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®
None

Experience

Current

October 1, 2024 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 2424 North Federal Highway Suite 400, Boca Raton, FL 33431
BD
CRD#: 42046
Boca Raton, FL
Past

July 22, 2022 - October 30, 2024

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
BOCA RATON, FL
Past

December 19, 2014 - July 22, 2022

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

September 18, 2009 - January 13, 2015

IAA FINANCIAL LLC

BD
CRD#: 6578
Boca Raton, FL
Past

January 8, 2004 - October 2, 2009

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
BOCA RATON, FL
Past

March 4, 2003 - January 16, 2004

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY
Past

October 8, 2002 - March 3, 2003

CARDINAL CAPITAL MANAGEMENT, INC.

BD
CRD#: 24605
MIAMI, FL
Past

August 23, 2002 - November 4, 2002

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

January 31, 2002 - August 20, 2002

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

October 14, 1998 - February 25, 2002

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY
Past

September 2, 1998 - October 9, 1998

JOSEPH DILLON & COMPANY INC.

BD
CRD#: 35220
GREAT NECK, NY
Past

August 7, 1998 - September 2, 1998

ITRADEDIRECT.COM CORP

BD
CRD#: 18281
BOCA RATON, FL
Past

May 5, 1997 - August 7, 1998

THE INVESTMENT CENTER, INC.

BD
CRD#: 17839
BEDMINSTER, NJ
Past

August 24, 1994 - May 8, 1997

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(10/1/2024)
RR
California
(10/1/2024)
RR
Colorado
(10/1/2024)
RR
Florida
(10/1/2024)
RR
Georgia
(10/1/2024)
RR
Illinois
(10/1/2024)
RR
Louisiana
(11/6/2024)
RR
Michigan
(10/1/2024)
RR
Minnesota
(10/2/2024)
RR
Mississippi
(10/1/2024)
RR
Nevada
(10/3/2024)
RR
New Jersey
(10/1/2024)
RR
New York
(10/1/2024)
RR
Pennsylvania
(10/1/2024)
RR
Texas
(10/1/2024)
RR
Virginia
(10/1/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/12/1994
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: 8/23/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/29/1996
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KI
KESTRA INVESTMENT SERVICES, LLC
KESTRA INVESTMENT SERVICES, LLC | PARTNERS SECURITIES, INC. | NFP SECURITIES, INC. | NFP SECIRITIES, INC. | NFP ADVISOR SERVICES, LLC | NFP ADVISOR SERVICES

CRD#: 42046 / SEC#: , 8-49672

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
5707 Southwest Parkway 2-125, Austin, TX 78746
Mailing Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Phone number
(844) 553-7872
Established
Texas since 09/01/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
KESTRA FINANCIAL, INCSOLE MEMBER
AMORE, JOHN VINCENTPRESIDENT5430932
CHESTER, KRISTEN LAWLESSCHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT6896952
KANT, VINAYCHIEF DIGITAL TECHNOLOGY OFFICER7976827
PEDLOW, MICHAEL ROSSCHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT4871563
POER, JAMES LYNNCHIEF EXECUTIVE OFFICER1983357
SCHOENBECK, MARK PAULEXECUTIVE VICE PRESIDENT2625829
YIN, YINCONTROLLER3219513
ZEGERS, SCOTT MATTHEWCHIEF FINANCIAL OFFICER4831659

Disclosures

Regulatory Event14
Arbitration2

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 INVESTMENT SERVICES, LLC

CRD#: 42046Boca Raton, FL 33431

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