Darlene Giz

KESTRA ADVISORY SERVICES

FAIRFIELD, NJ 07004

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CRD#: 2676091

Professional summary

Darlene Giz, AIF®, CIMA®, who also goes by Darlene Marie Giz, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Fairfield, New Jersey and KESTRA INVESTMENT SERVICES, LLC located in Fairfield, New Jersey.

Darlene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Darlene has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Darlene Marie Giz

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 POSITION: Financial Advisor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 06/18/2024 ADDRESS: 5707 Southwest Parkway, Bldg 2, suite 400, Austin TX 78735 DESCRIPTION: Financial Advisor

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darlene Giz'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®

AIF^®

Accredited Investment Fiduciary

CIMA^®

Certified Investment Management Analyst

Experience

Current

June 13, 2024 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 375 Passaic Ave, Fairfield, NJ 07004

RIA

CRD#: 283330

FAIRFIELD, NJ

Current

April 5, 2024 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 375 Passaic Ave, Fairfield, NJ 07004

CRD#: 42046

Fairfield, NJ

Past

April 30, 2020 - April 4, 2024

PRINCIPAL SECURITIES, INC.

CRD#: 1137

PARSIPPANY, NJ

Past

May 25, 2019 - April 6, 2020

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

March 1, 2017 - May 25, 2019

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

February 21, 2013 - February 22, 2017

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

PRINCETON, NJ

Past

February 1, 2011 - June 5, 2012

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

March 24, 2006 - January 13, 2011

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NEW YORK, NY

Past

April 29, 2005 - March 13, 2006

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

Past

July 27, 2004 - December 31, 2004

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Past

April 10, 2001 - July 22, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, 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".

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

Delaware
(4/5/2024)

Florida
(4/5/2024)

New Jersey
(4/5/2024)

IAR

New Jersey
(6/13/2024)

New York
(4/5/2024)

North Carolina
(4/8/2024)

Texas
(4/5/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/10/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/26/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/9/2001

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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Advisor Monitoring

Firm Stability Insights

Darlene Giz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darlene Giz's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

PRINCIPAL SECURITIES, INC.

INVESCO DISTRIBUTORS, INC.

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BLACKROCK INVESTMENTS, LLC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

LORD ABBETT DISTRIBUTOR LLC

PFS INVESTMENTS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/10/2024

Series 63

Date: 5/26/2006

SIE

Date: 10/1/2018

Series 7

Date: 4/9/2001

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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