MK
Mary M. Kastelberg
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CRD#: 2622525
MK
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mary Margaret Kastelberg, who also goes by Mary Margaret Smithers, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1995. Mary had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mary Margaret Smithers
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: 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 Start Date: 8/1/2019 Hours per month: 41% - 50% (65 - 80 hours) Hours per month during trading hours: 41% - 50% (57 - 70 hours) Duties: REVIEW AND MANAGE CLIENT ACCOUNTS; REVIEW GOALS, OBJECTIVES, RISK TOLERANCES REGULARLY WITH CLIENTS; EVALUATE INVESTMENT OPTIONS SUITABLE TO CLIENT NEEDS AND GOALS; PREPARE, REVIEW AND UPDATE FINANCIAL PLANS WITH CLIENTS ON A REGULAR BASIS Business Name: Commonwealth Catholic Charities Investment Related: No Address: 1601 Rolling Hills Rd Richmond VA 23229 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Board Member Start Date: 11/1/2008 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Management oversight Business Name: Alpha Wealth Advisors Investment Related: Yes Address: 4435 Waterfront Dr., Suite 203 Glen Allen VA 23060 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Director - Investment Research Start Date: 11/1/2013 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Research using third party databases, publicly available information to analyze risk, investments and strategies Business Name: Village Bank Investment Related: Yes Address: 13319 Midlothian Turnpike Midlothian VA 23113 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Director. Start Date: 10/1/2020 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Prepare for and attend monthly board meetings, review internal financial reports, review regulatory requirements and changes, assist board in setting acceptable risk targets and monitor performance to meet said risk profile.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
August 1, 2019 - October 23, 2023
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Glen Allen, VA
Past
August 1, 2019 - October 23, 2023
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Glen Allen, VA
Past
March 16, 2017 - August 6, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Glen Allen, VA
Past
February 21, 2014 - August 6, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
GLEN ALLEN, VA
Past
August 15, 1995 - April 29, 1998
EWING BEMISS
BD
CRD#: 32214
RICHMOND, VA
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
