PF
Paul S. Faidley
KESTRA ADVISORY SERVICES
Fort Worth, TX 76107
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CRD#: 2889668
PF
Professional summary
Paul Sanford Faidley JR, ChFC®, who also goes by Paul Sanford Faidley, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Fort Worth, Texas and KESTRA INVESTMENT SERVICES, LLC located in Fort Worth, Texas.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Paul has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul Sanford Faidley
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: Gus Bates Financial Services Investment Related: Yes Address: 3221 Collinsworth Street Ft. Worth TX 76107 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Partner Start Date: 5/1/2019 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Sales KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 100 START DATE: 05/01/2019 ADDRESS: 5707 Southwest Parkway Building 2 Ste. 400, Austin TX 78735, United States DESCRIPTION: Investment advice to clients.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Sanford Faidley JR'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®
Experience
Current
May 6, 2019 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 3211 W. 4th Street, Fort Worth, TX 76107RIA
CRD#: 283330
Fort Worth, TX
Current
May 6, 2019 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 3211 W. 4th Street, Fort Worth, TX 76107BD
CRD#: 42046
Fort Worth, TX
Past
November 2, 2018 - May 9, 2019
OSAIC WEALTH, INC.
RIA
CRD#: 23131
FORT WORTH, TX
Past
November 2, 2018 - May 9, 2019
OSAIC WEALTH, INC.
BD
CRD#: 23131
FORT WORTH, TX
Past
February 8, 2018 - November 2, 2018
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
FORT WORTH, TX
Past
June 25, 1997 - November 2, 2018
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
FORT WORTH, TX
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(5/6/2019)
RR
Arkansas(4/19/2023)
RR
California(7/8/2021)
RR
Colorado(5/22/2019)
RR
Florida(5/6/2019)
RR
Georgia(5/6/2019)
RR
Illinois(5/28/2025)
RR
Kentucky(11/4/2025)
RR
Minnesota(5/6/2019)
RR
Missouri(5/6/2019)
RR
Montana(6/13/2019)
RR
New York(5/6/2019)
RR
North Carolina(9/23/2019)
RR
Oklahoma(5/6/2019)
RR
Tennessee(8/7/2019)
RR
Texas(5/6/2019)
IAR
Texas(5/6/2019)
RR
Utah(5/6/2019)
RR
Washington(5/11/2020)
Exams
State Security Law Exam
State Security Law 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.
