CT
Charles W. Thela
KESTRA ADVISORY SERVICES
HARTSDALE, NY
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CRD#: 2566888
CT
Professional summary
Charles William Thela is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Hartsdale, New York and KESTRA INVESTMENT SERVICES, LLC located in Elmsford, New York.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Charles has worked at 3 firms and has passed the Series 63, SIE and Series 7 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.
Business Name: Ash Brokerage Investment Related: No Address: 7609 W. Jefferson BLVD Fort Wayne IN 46804 Nature of Business: Insurance Position, Title or Relationship: I process my fixed insurance (Term life, UL, Disability Income, Fixed Annuity and LTC) thorugh this entity. I am not an owner or Partner in Ash Brokerage. Start Date: 3/15/2002 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: None. I am an appointed agent but have no other duties or obligations with Ash.Business Name: Westchester Benefit Group Investment Related: No Address: 500 Summit Lake Drive Suite 120 Valhalla NY 10595 Nature of Business: Insurance Position, Title or Relationship: Other,I refer group insurance business to this entity and receive a portion of the commission from those cases. Start Date: 6/1/2002 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: None other than referring business to them. I do not participate in servicing these accounts other than when they sometimes contact me with simple questions.Business 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 servicesBusiness Name: FourRivers Wealth Strategies, Inc. Investment Related: Yes Address: 555 Taxter Road. Suite 190 Elmsford NY 10523 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Owner and employee Start Date: 8/20/2008 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: All sales, marketing and administrative activities that are necessary for the conduct of this entity's operations.
CRS (Client Relationship Summary) - RIA
Click below to view Charles William Thela'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
June 22, 2021 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 565 Taxter Rd Suite 490, Elmsford, NY 10523RIA
CRD#: 283330
HARTSDALE, NY
Current
November 25, 2003 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 565 Taxter Rd Suite 490, Elmsford, NY 10523BD
CRD#: 42046
Elmsford, NY
Past
February 27, 2002 - December 2, 2003
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
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(4/4/2018)
RR
California(11/25/2003)
RR
Connecticut(11/25/2003)
RR
Delaware(2/20/2007)
RR
Florida(3/12/2024)
RR
Georgia(3/8/2006)
RR
Illinois(2/22/2010)
RR
Iowa(6/8/2006)
RR
Maine(1/3/2007)
RR
Maryland(12/6/2004)
RR
New Jersey(11/25/2003)
RR
New York(11/25/2003)
IAR
New York(6/22/2021)
RR
North Carolina(6/17/2024)
RR
Pennsylvania(7/22/2004)
RR
Wisconsin(4/25/2006)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
