RD
Roger J. David
KESTRA ADVISORY SERVICES
GRAND RAPIDS, MI 49525
Some features on this profile are disabled
CRD#: 2738901
RD
Professional summary
Roger John David, who also goes by Rog David, Roger John David Mr, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Grand Rapids, Michigan and KESTRA INVESTMENT SERVICES, LLC located in Grand Rapids, Michigan.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Roger has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rog David | Roger John David Mr
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.
BN: Rinvelt & David, LLC Inv Rel: Yes Addr: 1700 East Beltline NE Ste. 150 Grand Rapids MI 49525 NOB: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC POSI: Registered Representative and IAR. Start Date: 12/12/2004 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Consulting families and businesses regarding financial planning, securities transactions and management and insurance sales. BN: The Order of St. Ignatius of Antioch Inv Rel: No Addr: 358 Mountain Road Englewood NJ 07631 NOB: Community/Charitable/Civic POSI: National Chairperson Start Date: 10/1/2010 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: To travel to parishes and events around the United States and speak on behalf of The Oder and try to motivate people to join and become members. The annual dues range from $500 to $15,000 per year depending on the level of membership. I recruit at the events. Indct new members and coordinate the payment with the local parish and the main office in Englewood, NJ. I do not physically handle the membership dues from the weekends. BN: Kestra Advisory Services, LLC Inv Rel: Yes Addr: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 NOB: Investment Advisory services through Kestra Advisory Services, LLC POSI: 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 BN: ANTIOCHIAN ORTHODOX ARCHDIOCESE INVESTMENT COMMITTEE POSI: Committe Member NOB: Board position (Board of Directors, Board of Trustees, etc.) INV REL: Yes #OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2022 ADDR: 358 Mountain Road, Englewood NJ 07631 DESC: It is a committee that reviews the invesment recommendatrions of the Marrill Lynch investment advisoers and makes sure that the investment risk and types of securities are in line with the investment policy statement. I do not make specific investment recommendations. That is done by Merrill Lynch advisors. My recommendations would be general in nature and the specific invetsment recommendations are made by the Merrill Lynch advisors. I wouldask questions and make suggestions for overall allocations and risk of the portfolio. The Merrill Lynch advisors provide the specific invetsment recommendations which are then approved by the committe as a whole. BN: THE ORDER OF ST. IGNATIUS OF ANTIOCH POSI: National Chairperson NOB: None INV REL: No #OF HOURS: 12 SECURITIES TRADING HOURS: 4 START DATE: 10/01/2010 ADDR: 358 Mountain Road, Englewood NJ 07631 DESC: To travel to parishes and events around the United States and speak on behalf of The Oder and try to motivate people to join and become members. The annual dues range from $500 to $15,000 per year depending on the level of membership. I recruit at the events. Indct new members and coordinate the payment with the local parish and the main office in Englewood, NJ. I do not physically handle the membership dues from the weekends. I do work with other members of the Order and we review financial statemernts, create budgets and review investment/asset values for the endowment orf the Order. BN: BINDER PARK ZOO POSI: Board Member NOB: Board position (Board of Directors, Board of Trustees, etc.) INV REL: Yes #OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2023 ADDR: 7400 Division Drive, Battle Creek MI 49014 DESC: Review financials and invetsment allocations and performance. Discuss management items of the zoo. I do not provide any specific investmentrecommendations. The only thing I would ask or provide input on would be questions regarding general asset allocation and alolow the current advisor to preovide specifics.
CRS (Client Relationship Summary) - RIA
Click below to view Roger John David'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 19, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 1700 East Beltline Ne Ste. 150, Grand Rapids, MI 49525RIA
CRD#: 283330
GRAND RAPIDS, MI
Current
April 30, 2015 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1700 East Beltline Ne Ste. 150, Grand Rapids, MI 49525BD
CRD#: 42046
Grand Rapids, MI
Past
May 1, 2015 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
AUSTIN, TX
Past
September 24, 2010 - May 4, 2015
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
GRAND RAPIDS, MI
Past
December 1, 2009 - May 4, 2015
FSC SECURITIES CORPORATION
BD
CRD#: 7461
GRAND RAPIDS, MI
Past
September 8, 2009 - December 10, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
GRAND RAPIDS, MI
Past
March 11, 2005 - September 8, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
GRAND RAPIDS, MI
Past
May 26, 2004 - March 17, 2005
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
December 9, 1998 - June 9, 2004
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
July 16, 1997 - January 5, 1999
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
May 2, 1996 - July 16, 1997
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
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
Alabama(2/5/2020)
RR
Arizona(4/30/2015)
RR
California(4/30/2015)
RR
Colorado(4/30/2015)
RR
District of Columbia(5/17/2024)
RR
Florida(4/30/2015)
RR
Georgia(4/30/2015)
RR
Illinois(4/30/2015)
RR
Indiana(4/30/2015)
RR
Iowa(4/30/2015)
RR
Kentucky(4/30/2015)
RR
Maryland(5/5/2022)
RR
Massachusetts(4/30/2015)
RR
Michigan(4/30/2015)
IAR
Michigan(4/21/2016)
RR
Minnesota(4/30/2015)
RR
Missouri(11/18/2019)
RR
New Jersey(4/1/2020)
RR
New York(4/30/2015)
RR
North Carolina(4/30/2015)
RR
Ohio(4/30/2015)
RR
Oregon(7/31/2024)
RR
Pennsylvania(4/30/2015)
RR
South Carolina(1/15/2019)
RR
Tennessee(10/6/2020)
RR
Texas(4/30/2015)
IAR
Texas(4/19/2016)
RR
Utah(2/21/2019)
RR
Virginia(5/28/2024)
RR
Washington(4/30/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Grand Rapids, MI 49525TRUST BUT VERIFY
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