KT
Kevin G. Thompson
KESTRA ADVISORY SERVICES
Bradenton, FL
Some features on this profile are disabled
CRD#: 2614746
KT
Professional summary
Kevin G Thompson, who also goes by Kevin Glenn Thompson, Kevin G Thopson, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Bradenton, Florida and KESTRA INVESTMENT SERVICES, LLC located in Fullerton, California.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Kevin has worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 31 and Series 52 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin Glenn Thompson | Kevin G Thopson
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: FINANCIAL PARTNERS Investment Related: Yes Address: 888 PROSPECT ST STE 200 LA JOLLA CA 92037 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: Owner Start Date: 3/16/2015 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: I work with clients to help them with their investments and retirement planning. Name: American Financial Network Inc Investment Related: Yes Address: 10 Point Drive #330 Brea CA 92821 Nature of Business: Loan/Mortgage/Lending Related Position, Title or Relationship: Loan officer Start Date: 5/1/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Loan origination. I would take loan applications, collect supporting documentation and submit this information to a loan processor for underwriting. 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 Name: TRUSTEE FOR THE DAVID C THOMPSON REVOCABLE TRUST POSITION: trustee NATURE: Legal/Attorney/Trustee/Executor INVESTMENT RELATED: Yes # OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 05/28/2015 ADDRESS: 3618 4th Ave NE, Bradenton FL 34208, United States DESCRIPTION: Handle estate and accounts for the trust
CRS (Client Relationship Summary) - RIA
Click below to view Kevin G Thompson'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 20, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 1370 N. Brea Blvd, Ste 108, Fullerton, CA 92835Office #3: 888 Prospect St. Suite 200, La Jolla, CA 92037Office #4: 1990 Main St Ste 750, Sarasota, FL 34236RIA
CRD#: 283330
Bradenton, FL
Current
March 13, 2015 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1370 N. Brea Blvd, Ste 108, Fullerton, CA 92835Office #2: 888 Prospect St. Suite 200, La Jolla, CA 92037Office #3: 1990 Main St Ste 750, Sarasota, FL 34236BD
CRD#: 42046
Fullerton, CA
Past
March 16, 2015 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
LA JOLLA, CA
Past
June 1, 2009 - March 23, 2015
MORGAN STANLEY
RIA
CRD#: 149777
LA JOLLA, CA
Past
June 1, 2009 - March 23, 2015
MORGAN STANLEY
BD
CRD#: 149777
LA JOLLA, CA
Past
October 16, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
LA JOLLA, CA
Past
August 12, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
LA JOLLA, CA
Past
November 8, 2004 - April 1, 2005
WEALTH ADVISORS, INC.
RIA
CRD#: 130478
SAN DIEGO, CA
Past
November 8, 2004 - April 4, 2005
QA3 FINANCIAL CORP.
BD
CRD#: 14754
OMAHA, NE
Past
March 22, 2004 - September 1, 2004
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
April 12, 2001 - November 7, 2002
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
SARASOTA, FL
Past
April 12, 2001 - November 7, 2002
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Past
July 9, 1999 - April 24, 2001
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
April 16, 1997 - September 28, 1999
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
May 30, 1995 - April 23, 1997
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
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(4/10/2024)
RR
California(3/13/2015)
IAR
California(4/20/2016)
RR
Colorado(1/25/2021)
RR
Florida(3/13/2015)
IAR
Florida(3/24/2021)
RR
Nebraska(11/5/2021)
RR
Nevada(3/24/2015)
RR
New York(3/3/2021)
RR
North Carolina(1/25/2023)
RR
Ohio(3/13/2015)
RR
Oregon(3/13/2015)
RR
Tennessee(3/13/2015)
RR
Texas(3/13/2015)
IAR
Texas(7/27/2023)
RR
Washington(3/13/2015)
RR
Wisconsin(2/17/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
