ML
Michael J. Levy
KESTRA ADVISORY SERVICES
BELLAIRE, TX 77401
Some features on this profile are disabled
CRD#: 2579556
ML
Professional summary
Michael John Levy, CFP®, CIMA® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Bellaire, Texas and KESTRA INVESTMENT SERVICES, LLC located in Bellaire, Texas.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 7 firms and has passed the Series 63, SIE, Series 31, 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.
Business Name: Insurance commissions earned personally and in TLC Wealth Management, Inc. and TLC Insurance Services Investment Related: No Address: 6750 West Loop South, Suite 790 Bellaire TX 77401 Nature of Business: Insurance Position, Title or Relationship: President of TLC Wealth Management, Inc., of which TLC Insurance Services is a DBA. Start Date: 1/1/1997 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Searching for and placing a good and appropriate insurance product, given the needs of clients.Business Name: Jewish Federation Of Greater Houston Investment Related: No Address: 5603 S. Braeswood Houston TX 77096 Nature of Business: Community/Charitable/Civic Position, Title or Relationship: Member of the Board of Trustees Start Date: 2/1/1999 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Participate in board meetingsBusiness Name: TLC Wealth Management, Inc. Investment Related: Yes Address: 6750 West Loop South, Suite 790 Bellaire TX 77401 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: President Start Date: 6/15/1999 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Manage the business and provide wealth management services to clients.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 services
CRS (Client Relationship Summary) - RIA
Click below to view Michael John Levy'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 21, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 6750 West Loop South, Suite 790, Bellaire, TX 77401RIA
CRD#: 283330
BELLAIRE, TX
Current
April 21, 2006 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 6750 West Loop South, Suite 790, Bellaire, TX 77401BD
CRD#: 42046
Bellaire, TX
Past
April 21, 2006 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
HOUSTON, TX
Past
May 13, 2004 - April 17, 2006
WESTPARK WEALTH ADVISORS, INC.
RIA
CRD#: 130914
HOUSTON, TX
Past
September 15, 1999 - December 31, 2004
IMS SECURITIES, INC.
RIA
CRD#: 35567
HOUSTON, TX
Past
July 28, 1999 - April 17, 2006
IMS SECURITIES, INC.
BD
CRD#: 35567
HOUSTON, TX
Past
July 6, 1999 - July 28, 1999
IMS SECURITIES, INC.
BD
CRD#: 35567
Past
February 7, 1997 - June 21, 1999
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
January 24, 1997 - July 1, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
March 1, 1995 - January 17, 1997
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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(1/10/2007)
RR
Arkansas(10/19/2009)
RR
California(4/21/2006)
RR
Colorado(7/25/2006)
RR
Florida(10/27/2006)
RR
Georgia(11/5/2019)
RR
Illinois(11/9/2006)
RR
Louisiana(11/1/2024)
RR
Maine(12/7/2023)
RR
Massachusetts(4/9/2025)
RR
Missouri(4/21/2006)
RR
New Jersey(4/21/2006)
RR
New Mexico(9/16/2016)
RR
North Carolina(4/8/2014)
RR
Ohio(11/23/2010)
RR
Pennsylvania(8/11/2009)
RR
Texas(4/21/2006)
IAR
Texas(4/21/2016)
RR
Washington(10/16/2025)
Exams
State Security Law Exam
General Industry/Product 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.
