SB
Steven A. Battel
KESTRA PRIVATE WEALTH SERVICES
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 2505515
SB
Professional summary
Steven Anthony Battel is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in Red Bank, New Jersey and KESTRA INVESTMENT SERVICES, LLC located in Red Bank, New Jersey.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Steven has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 25, Series 7 and Series 24 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.
Bus Name: LIBERTY WEALTH SOLUTIONS POSITION: Managing Director, Wealth Manager NATURE: Insurance INVESTMENT RELATED: Yes, # OF HOURS: 160 SECURITIES TRADING HOURS: 80 START DATE: 08/01/2024 ADDRESS: 130 Maple Ave, Unit 7A, Red Bank NJ 07701, United States DESCRIPTION: financial advisor with LWS through KPWS RIA. duties included investment advice, planning, day to day running and operating the business. Bus Name: SNR 123, LLC POSITION: Member NATURE: pass through LLC for running our financial services business INVESTMENT RELATED: No, # OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 08/01/2024 ADDRESS: 130 Maple Ave, Unit 7A, Red Bank NJ 07701, United States DESCRIPTION: payroll and other administrative expenses. As of today we don't have any employees but may rehire one. Bus Name: LUCKY MAPLE 123 LLC POSITION: Member NATURE: Real Estate INVESTMENT RELATED: No, # OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2023 ADDRESS: 130 Maple Ave, Unit 7A, Red Bank NJ 07701, United States DESCRIPTION: I am a 50% owner of the LLC with my brother in law/business partner at KPWS, Rob Yevchak.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Anthony Battel'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
April 27, 2018 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #1: 130 Maple Avenue Building 5, Ph, Red Bank, NJ 07701RIA
CRD#: 155193
Red Bank, NJ
Current
April 25, 2018 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 130 Maple Avenue Unit 7a, Red Bank, NJ 07701BD
CRD#: 42046
Red Bank, NJ
Past
September 18, 2008 - April 27, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PARAMUS, NJ
Past
September 2, 2008 - April 27, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PARAMUS, NJ
Past
August 31, 1999 - June 11, 2007
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
June 1, 1998 - August 31, 1999
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
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".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 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
Arizona(4/25/2018)
RR
Arkansas(12/13/2022)
RR
California(4/25/2018)
RR
Colorado(12/9/2022)
RR
Connecticut(4/25/2018)
RR
Delaware(4/25/2018)
RR
Florida(4/25/2018)
RR
Georgia(4/25/2018)
RR
Illinois(4/25/2018)
RR
Louisiana(4/25/2018)
RR
Maryland(4/25/2018)
RR
Massachusetts(4/25/2018)
RR
Michigan(9/6/2022)
RR
Minnesota(4/25/2018)
RR
Nevada(4/25/2018)
RR
New Jersey(4/25/2018)
IAR
New Jersey(4/27/2018)
RR
New York(4/25/2018)
RR
North Carolina(4/25/2018)
RR
Ohio(4/12/2024)
RR
Oregon(6/15/2023)
RR
Pennsylvania(4/25/2018)
RR
Rhode Island(4/25/2018)
RR
South Carolina(11/8/2020)
RR
Tennessee(6/26/2024)
RR
Texas(4/25/2018)
IAR
Texas(9/1/2023)
RR
Vermont(4/25/2018)
RR
Virginia(4/25/2018)
RR
Washington(6/26/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/18/2004
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
Series 25
Date: 11/18/1999
NYSE Trading Assistant ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
198
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
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.
