Benjamin Stephen Shaddox
CFP®Professional Summary
Benjamin Stephen Shaddox, CFP®, who also goes by Ben Shaddox, Benjamin Shaddox, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Springdale, Arkansas and KESTRA INVESTMENT SERVICES, LLC located in Springdale, Arkansas. Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Benjamin has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Ben Shaddox, Benjamin Shaddox
Similar Advisors
RETIREMENT STRATEGIES
RBC CAPITAL MARKETS, LLC
MORGAN STANLEY
RBC CAPITAL MARKETS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RETIREMENT STRATEGIES
RBC CAPITAL MARKETS, LLC
MORGAN STANLEY
RBC CAPITAL MARKETS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
RETIREMENT STRATEGIES
RBC CAPITAL MARKETS, LLC
MORGAN STANLEY
RBC CAPITAL MARKETS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
RETIREMENT STRATEGIES
RBC CAPITAL MARKETS, LLC
MORGAN STANLEY
RBC CAPITAL MARKETS, LLC
Credentials
Years of Experience
28 years in the financial services industry
Current & Past Employments
Similar Advisors
RETIREMENT STRATEGIES
RBC CAPITAL MARKETS, LLC
MORGAN STANLEY
RBC CAPITAL MARKETS, LLC
Current Firm
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
Contact Information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735Phone Number
(844) 553-7872# of Employees
1,359SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
192,439AUM (Assets Under Management)
$79,798,091,767Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/01/2025 | Cover Page | Report |
| 12/23/2024 | Cover Page | Report |
| 10/20/2023 | Cover Page | Report |
Similar Advisors
RETIREMENT STRATEGIES
RBC CAPITAL MARKETS, LLC
MORGAN STANLEY
RBC CAPITAL MARKETS, LLC
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.
Similar Advisors
RETIREMENT STRATEGIES
RBC CAPITAL MARKETS, LLC
MORGAN STANLEY
RBC CAPITAL MARKETS, LLC
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
State Registrations and Notice Filings
(2/23/2007)
(4/19/2016)
(7/8/2025)
(12/1/2009)
(11/7/2012)
(2/10/2014)
(5/17/2012)
(1/24/2025)
(2/14/2025)
(6/20/2025)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 1998About the Series 6 examSRO Registrations
Similar Advisors
RETIREMENT STRATEGIES
RBC CAPITAL MARKETS, LLC
MORGAN STANLEY
RBC CAPITAL MARKETS, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Stephen Shaddox's CRS (Customer Relationship Summary).
Similar Advisors
RETIREMENT STRATEGIES
RBC CAPITAL MARKETS, LLC
MORGAN STANLEY
RBC CAPITAL MARKETS, LLC
