TU
Trace C. Udall
KESTRA ADVISORY SERVICES
MESA, AZ
Some features on this profile are disabled
CRD#: 2527974
TU
Professional summary
Trace Cowley Udall, AIF®, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Mesa, Arizona and KESTRA INVESTMENT SERVICES, LLC located in Mesa, Arizona.
Trace is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Trace has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Insurance Planning
Investment Planning
Comprehensive Financial Planni...
Retirement Planning
Estate Planning
Business Succession Planning
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.
Name: TSAF LLC POSITION: Member NATURE: Merchandise INVESTMENT RELATED: No # OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/20/2024 ADDRESS: 122 N Macdonald, Mesa AZ 85201, United States DESCRIPTION: None, Added to the LLC for an estate planning need. Name: BILTMORE TRAVEL LLC POSITION: Managing Member NATURE: Travel Agency INVESTMENT RELATED: No # OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 09/20/2024 ADDRESS: 122 N Macdonald, Mesa AZ 85201, United States DESCRIPTION: Created LLC for personal friends and family Travel needs. Name: RENOVATE LLC POSITION: Member NATURE: General Contracting INVESTMENT RELATED: Yes # OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/20/2024 ADDRESS: 122 N Macdonald, Mesa AZ 85201, United States DESCRIPTION: None, added to LLC as an estate planning need. Name: UDALL FINANCIAL LLC POSITION: Managing Member NATURE: Consulting INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 07/09/2014 ADDRESS: 122 N Macdonald, Mesa AZ 85201, United States DESCRIPTION: Manage client investment and consulting needs. Name: HOOSIERS LLC POSITION: Managing Member NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 10/02/2019 ADDRESS: 122 N Macdonald, Mesa AZ 85201, United States DESCRIPTION: Write and solicit insurance business. Name: CLEVELAND ENTERPRISES NORTH AMERICA LLC POSITION: Member NATURE: Real Estate INVESTMENT RELATED: Yes # OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/09/2014 ADDRESS: 122 N Macdonald, Mesa AZ 85201, United States DESCRIPTION: None Passive
CRS (Client Relationship Summary) - RIA
Click below to view Trace Cowley Udall'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: 1997
Experience
Current
August 7, 2025 - Present
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
MESA, AZ
Current
August 7, 2025 - Present
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Mesa, AZ
Past
August 13, 2014 - August 7, 2025
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
Mesa, AZ
Past
August 13, 2014 - August 7, 2025
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
Mesa, AZ
Past
June 30, 1998 - August 19, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
MESA, AZ
Past
June 30, 1998 - August 19, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
MESA, AZ
Past
June 4, 1996 - June 30, 1998
UNITED PACIFIC SECURITIES, INC.
BD
CRD#: 21986
CARLSBAD, CA
Past
August 28, 1995 - June 5, 1996
LAGUNA SECURITIES, INC.
BD
CRD#: 37547
NEWPORT BEACH, CA
Past
January 17, 1995 - May 22, 1995
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
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
Arizona(8/7/2025)
IAR
Arizona(8/8/2025)
RR
California(10/9/2025)
RR
Hawaii(8/7/2025)
RR
Illinois(8/7/2025)
RR
Michigan(8/7/2025)
RR
Missouri(8/28/2025)
RR
New Mexico(8/7/2025)
RR
South Dakota(8/7/2025)
RR
Texas(8/7/2025)
IAR
Texas(8/7/2025)
RR
Utah(8/7/2025)
RR
Washington(8/7/2025)
RR
Wyoming(8/7/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
