KD
Kevin M. Dick
KESTRA ADVISORY SERVICES | Founder, Wealth Advisor
Scottsdale, AZ 85258
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CRD#: 2928617
KD
Professional summary
Kevin Michael Dick, AIF®, who also goes by Kevin M Dick, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Scottsdale, Arizona and KESTRA INVESTMENT SERVICES, LLC located in Scottsdale, Arizona.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Kevin has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Trust & estate planning
Insurance
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
Kevin M Dick
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: KEVIN DICK INVESTMENT MANAGEMENT GROUP, LLC POSITION: Member NATURE: LLC to hold purchase assets INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/15/2009 ADDRESS: 8901 E. Pima Center Parkway, Suite 205, SCOTTSDALE AZ 85258, United States DESCRIPTION: Receiving purchase payments, distributing assets to members (ourselves) Business Name: FRASSINO HOLDINGS, LLC POSITION: Member NATURE: Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/18/2021 ADDRESS: 9136 N 81st St, Scottsdale AZ 85258, United States DESCRIPTION: Coordinating maintenance of property when needed, collecting rents Business Name: WILLINGLEAF HOLDINGS, LLC POSITION: Member NATURE: Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/15/2020 ADDRESS: 9136 N 81st St, Scottsdale AZ 85258, United States DESCRIPTION: Coordinating maintenance and collecting rents Business Name: KESTRA ADVISORY SERVICES, LLC POSITION: CEO, Managing Director NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 05/01/2024 ADDRESS: 5707 Southwest Parkway, Bldg 2, Ste 400, Austin TX 78735, United States DESCRIPTION: Advising clients, managing the business
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Michael Dick'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 2, 2024 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 8901 E Pima Center Parkway Suite 205, Scottsdale, AZ 85258RIA
CRD#: 283330
Scottsdale, AZ
Current
May 1, 2024 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 8901 E Pima Center Parkway Suite 205, Scottsdale, AZ 85258BD
CRD#: 42046
Scottsdale, AZ
Past
September 17, 2009 - May 9, 2024
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
TUCSON, AZ
Past
September 1, 2009 - May 9, 2024
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
TUCSON, AZ
Past
January 23, 2006 - September 1, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
PAYSON, AZ
Past
November 21, 2005 - September 1, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
PAYSON, AZ
Past
September 12, 1997 - November 23, 2005
EDWARD JONES
BD
CRD#: 250
PAYSON, AZ
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(5/9/2024)
RR
Alaska(5/1/2024)
RR
Arizona(5/1/2024)
IAR
Arizona(5/8/2024)
RR
Arkansas(5/1/2024)
RR
California(5/1/2024)
RR
Colorado(5/1/2024)
RR
Connecticut(5/1/2024)
RR
Delaware(5/1/2024)
RR
District of Columbia(5/1/2024)
RR
Florida(5/1/2024)
RR
Georgia(5/1/2024)
RR
Hawaii(5/9/2024)
RR
Idaho(5/1/2024)
RR
Illinois(5/1/2024)
RR
Indiana(5/1/2024)
RR
Iowa(5/1/2024)
RR
Kentucky(5/1/2024)
RR
Maryland(5/1/2024)
RR
Massachusetts(5/1/2024)
RR
Michigan(5/1/2024)
RR
Minnesota(5/3/2024)
RR
Missouri(5/1/2024)
RR
Montana(5/1/2024)
RR
Nebraska(5/1/2024)
RR
Nevada(5/2/2024)
RR
New Jersey(5/1/2024)
RR
New Mexico(5/1/2024)
RR
New York(5/1/2024)
RR
North Carolina(5/10/2024)
RR
North Dakota(5/1/2024)
RR
Ohio(5/1/2024)
RR
Oklahoma(5/1/2024)
RR
Oregon(5/1/2024)
RR
Pennsylvania(5/1/2024)
RR
South Carolina(5/1/2024)
RR
South Dakota(5/23/2024)
RR
Tennessee(5/1/2024)
RR
Texas(5/1/2024)
IAR
Texas(5/2/2024)
RR
Utah(5/1/2024)
RR
Vermont(5/1/2024)
RR
Virginia(5/1/2024)
RR
Washington(5/1/2024)
RR
West Virginia(5/1/2024)
RR
Wisconsin(5/1/2024)
RR
Wyoming(5/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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.
Company Information
KESTRA ADVISORY SERVICES, LLC
Founder, Wealth AdvisorCRD#: 283330Scottsdale, AZ 85258TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
