TD
Thomas J. Desiderio
KESTRA ADVISORY SERVICES
Crofton, MD
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CRD#: 2558192
TD
Professional summary
Thomas Joseph Desiderio JR, CFP®, who also goes by Tom Desiderio Jr, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Crofton, Maryland and KESTRA INVESTMENT SERVICES, LLC located in Crofton, Maryland.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 22, Series 6, Series 51 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Desiderio Jr
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: Thomas Desiderio, CPA, LLC Investment Related: No Address: 711 Bestgate Rd Annapolis MD 21401 Nature of Business: Tax/Accounting Position, Title or Relationship: Owner Start Date: 10/1/1987 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 61% - 70% (85 - 98 hours) Duties: tax prep. and accountingBusiness Name: Thomas J. Desiderio, CFP, CPA, LLC Investment Related: Yes Address: 711 Bestgate Road, Suite 204 Annapolis MD 21401 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC; Tax/Accounting/CPA Position, Title or Relationship: Member Start Date: 8/17/2001 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Handle Marketing activities and the admin. of office spaceBusiness 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: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Desiderio JR'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®
Experience
Current
April 19, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Crofton, MD
Current
December 15, 2009 - Present
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Crofton, MD
Past
December 15, 2009 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
ANNAPOLIS, MD
Past
January 14, 1999 - December 31, 2009
MEDALLION INVESTMENT SERVICES, INC.
BD
CRD#: 45314
ANNAPOLIS, MD
Past
January 29, 1998 - December 31, 2009
MEDALLION ADVISORY SERVICES, LLC
RIA
CRD#: 113788
ANNAPOLIS, MD
Past
October 16, 1996 - December 31, 1998
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
KNOXVILLE, TN
Past
January 1, 1996 - October 21, 1996
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
November 16, 1994 - January 1, 1996
COMPREHENSIVE FINANCIAL SERVICES, INC.
BD
CRD#: 22710
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
California(9/20/2017)
RR
Connecticut(1/4/2010)
RR
Delaware(1/4/2010)
RR
District of Columbia(2/5/2013)
RR
Florida(1/4/2010)
RR
Maryland(12/15/2009)
IAR
Maryland(4/19/2016)
RR
Massachusetts(1/21/2021)
RR
New Jersey(12/19/2017)
RR
New Mexico(1/21/2021)
RR
New York(1/4/2022)
RR
North Carolina(1/4/2010)
RR
Ohio(1/7/2020)
RR
Pennsylvania(10/19/2018)
RR
South Carolina(10/6/2014)
RR
Virginia(1/4/2010)
RR
Washington(8/10/2012)
RR
West Virginia(1/4/2010)
Exams
State Security Law Exam
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.
