Gustavo A. Chaves
Professional summary
Gustavo Aldolfo Chaves, who also goes by Gus Chaves, Gustavo A Chaves, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Boca Raton, Florida and KESTRA INVESTMENT SERVICES, LLC located in Boca Raton, Florida.
Gustavo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Gustavo has worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 6TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Gustavo Aldolfo Chaves's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 16, 2024 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 2424 N Federal Hwy, Ste 400, Boca Raton, FL 33431October 1, 2024 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2424 North Federal Highway Suite 400, Boca Raton, FL 33431July 22, 2022 - October 30, 2024
B. RILEY WEALTH MANAGEMENT
February 28, 2014 - October 30, 2024
B. RILEY WEALTH ADVISORS, INC.
February 5, 2014 - July 22, 2022
NATIONAL SECURITIES CORPORATION
January 14, 2011 - February 6, 2014
SECURIAN FINANCIAL SERVICES, INC.
January 14, 2011 - February 6, 2014
SECURIAN FINANCIAL SERVICES, INC.
July 6, 2010 - December 31, 2010
CUNA BROKERAGE SERVICES, INC.
May 15, 2003 - January 11, 2011
CUNA BROKERAGE SERVICES, INC.
June 7, 1999 - May 6, 2003
NATHAN & LEWIS SECURITIES, INC.
October 27, 1997 - March 5, 1999
MORGAN STANLEY DW INC.
April 21, 1997 - September 19, 1997
IDS LIFE INSURANCE COMPANY
April 21, 1997 - September 19, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/14/2024)
(10/1/2024)
(10/1/2024)
(10/16/2024)
(10/1/2024)
(10/1/2024)
(10/1/2024)
(10/31/2024)
(10/1/2024)
(9/17/2025)
(10/29/2024)
(10/29/2024)
(10/1/2024)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
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 |
|---|---|---|
| 12/01/2025 | ||
| 12/23/2024 | ||
| 10/20/2023 |
Red Flags
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Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Boca Raton, FL 33431TRUST BUT VERIFY
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