MP
Michael C. Pemberton
KESTRA ADVISORY SERVICES
Woodstock, GA 30188
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CRD#: 2905608
MP
Professional summary
Michael C Pemberton is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Woodstock, Georgia and KESTRA INVESTMENT SERVICES, LLC located in Woodstock, Georgia.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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: Strategic Stewardship Investment Related: Yes Address: 3215 South Cherokee Lane, Ste. 1630 Woodstock GA 30188 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: Financial Advisor Start Date: 10/1/2018 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Meet with clients, build and illustrate financial plans, manage client investment accounts.Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Pkwy Bldg. 2 Ste. 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Start Date: 10/1/2018 Hours per month: 81% - 90% (129 - 144 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: Working with clients in managing their investments.Business Name: Lending Club IRA Investment Related: Yes Address: 595 Market Street, Suite 200 San Francisco CA 94105 Nature of Business: Loan/Mortgage/Lending Related Position, Title or Relationship: Account holder Start Date: 11/1/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Don't have any duties. Just have an IRA there that's invested in peer to peer lending notes.
CRS (Client Relationship Summary) - RIA
Click below to view Michael C Pemberton'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
October 1, 2018 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 3215 South Cherokee Lane Ste. 1630, Woodstock, GA 30188RIA
CRD#: 283330
Woodstock, GA
Current
October 1, 2018 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 3215 S Cherokee Lane, Suite 1630, Woodstock, GA 30188BD
CRD#: 42046
Woodstock, GA
Past
August 3, 2009 - October 1, 2018
KOVACK ADVISORS, INC.
RIA
CRD#: 140808
ATLANTA, GA
Past
July 30, 2009 - October 1, 2018
KOVACK SECURITIES INC.
BD
CRD#: 44848
ATLANTA, GA
Past
March 30, 2009 - August 6, 2009
WFG ADVISORS, LP
RIA
CRD#: 125073
ATLANTA, GA
Past
March 30, 2009 - August 6, 2009
WFG INVESTMENTS, INC.
BD
CRD#: 22704
ATLANTA, GA
Past
March 1, 2007 - April 2, 2009
EQUITY SERVICES, INC.
BD
CRD#: 265
ATLANTA, GA
Past
February 26, 2007 - April 2, 2009
EQUITY SERVICES, INC.
RIA
CRD#: 265
ATLANTA, GA
Past
October 3, 2001 - January 19, 2007
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
ATLANTA, GA
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(3/30/2020)
RR
Florida(10/1/2018)
RR
Georgia(10/1/2018)
IAR
Georgia(10/1/2018)
RR
Idaho(10/1/2018)
RR
Iowa(11/12/2024)
RR
Massachusetts(4/20/2021)
RR
North Carolina(10/1/2018)
RR
South Carolina(10/26/2018)
RR
Tennessee(10/1/2018)
RR
Texas(11/14/2018)
IAR
Texas(11/1/2023)
RR
Utah(7/29/2022)
RR
Virginia(6/29/2022)
RR
Wyoming(10/4/2018)
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.
