Richard A. Norkin

KESTRA ADVISORY SERVICES

Newbury Park, CA 91320

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CRD#: 2629571

Professional summary

Richard Alan Norkin, who also goes by Rick Norkin, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Newbury Park, California and KESTRA INVESTMENT SERVICES, LLC located in Newbury Park, California.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Norkin

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: RICHARD NORKIN POSITION: Sole Propietor NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 8 START DATE: 11/12/2018 ADDRESS: 3323 Old Conejo Rd., Thousand Oaks CA 91320 DESCRIPTION: Sales and servcie of policies. Business Name: KESTRA ADVISORY SERIVCES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/04/2023 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735 DESCRIPTION: IAR Business Name: RENTAL PROPERTY POSITION: Owner/Manager NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/01/1991 ADDRESS: 1050 Terrace Hill Cr., Westlake Village CA 91362 DESCRIPTION: Screen tenants, collect rent, maintain property. Business Name: FINANCIALPOINTE POSITION: Registered Representative NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/03/2024 ADDRESS: 3323 Old Conejo Rd., Thousand Oaks CA 91320 DESCRIPTION: Registered Representative

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Alan Norkin's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 3, 2023 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 3323 Old Conejo Rd., Newbury Park, CA 91320

RIA

CRD#: 283330

Newbury Park, CA

Current

October 3, 2023 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 3323 Old Conejo Rd, Newbury Park, CA 91320

CRD#: 15708

BIRMINGHAM, AL

Past

March 6, 1996 - April 30, 1997

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

August 17, 1995 - March 20, 1996

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

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".

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.

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

Arizona
(10/3/2023)

California
(10/3/2023)

IAR

California
(10/3/2023)

Colorado
(10/3/2023)

Florida
(10/3/2023)

Nevada
(10/3/2023)

New Mexico
(10/3/2023)

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

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	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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Firm Stability Insights

Richard A. Norkin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Alan Norkin's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CETERA WEALTH SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/26/1998

Series 63

Date: 8/17/1995

SIE

Date: 10/1/2018

Series 31

Date: 6/16/2006

Series 7

Date: 8/16/1995

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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