CR
Christopher J. Rouse
KESTRA ADVISORY SERVICES
Excelsior, MN 55331
Some features on this profile are disabled
CRD#: 2668405
CR
Professional summary
Christopher James Rouse, who also goes by Casey Rouse, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Excelsior, Minnesota and KESTRA INVESTMENT SERVICES, LLC located in Excelsior, Minnesota.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Christopher has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Casey Rouse
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: NFP Investment Related: Yes Address: 5050 Waterford Park Highway 169 N Suite 1100 Plymouth MN 55441 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: Other, Principal of agency, employee, no ownership Start Date: 12/15/2006 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Producer role - I sell and service the plans for the executive benefits division of The KNW Group, LLC 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: Rouse Executive Solutions Investment Related: Yes Address: 4350 Baker Road, Suite 250 Minnetonka MN 55343 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: CEO Start Date: 5/15/2018 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Sole member of the entity with 100% interest, responsible for general active management of the company, investment advisory, benefits consulting and insurance sales. Name: Rouse & Company Investment Related: Yes Address: 445 Lake Street E, Suite 200 Wayzata MN 55391 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: 9/13/2019 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: I am the sole Producer and I employ 2 FT staff as well
CRS (Client Relationship Summary) - RIA
Click below to view Christopher James Rouse'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 21, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 350 Highway 7 Suite 130, Excelsior, MN 55331RIA
CRD#: 283330
Excelsior, MN
Current
December 20, 2006 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 350 Highway 7 Suite 130, Excelsior, MN 55331BD
CRD#: 42046
Excelsior, MN
Past
July 7, 2014 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
Plymouth, MN
Past
October 16, 1995 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
October 10, 1995 - December 19, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
EDINA, MN
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(3/19/2007)
RR
Arkansas(9/26/2024)
RR
California(2/20/2007)
RR
Colorado(9/27/2024)
RR
Delaware(11/3/2021)
RR
Florida(11/10/2020)
RR
Illinois(2/21/2007)
RR
Indiana(9/30/2024)
RR
Iowa(2/22/2007)
RR
Michigan(9/30/2024)
RR
Minnesota(12/20/2006)
IAR
Minnesota(4/21/2016)
RR
Missouri(9/27/2024)
RR
Montana(9/5/2024)
RR
Nebraska(2/28/2007)
RR
North Dakota(5/14/2013)
RR
South Dakota(9/27/2024)
RR
Tennessee(9/27/2024)
RR
Texas(9/30/2024)
IAR
Texas(3/6/2025)
RR
Wisconsin(2/22/2007)
Exams
State Security Law Exam
State Security Law 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.
