BS
Benjamin S. Shaddox
KESTRA ADVISORY SERVICES
SPRINGDALE, AR 72762
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CRD#: 3091114
BS
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 Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ben Shaddox | Benjamin Shaddox
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: Lion Street Investment Related: Yes Address: 515 Congress ave Austin TX 78701 Nature of Business: Insurance Position, Title or Relationship: Product Sales Start Date: 1/1/2011 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: Insurance SalesBusiness Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory servicesBusiness Name: Eastern Gate Financial LLC Investment Related: Yes Address: 4100 Corporate Center Drive Suite 201 Springdale AR 72762 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: Principal/Owner Start Date: 1/1/2018 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 71% - 80% (99 - 112 hours) Duties: Meeting with clients and general management of business operations
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Stephen Shaddox'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®
CFP®
Start date: 2006
Experience
Current
April 19, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 4100 Corporate Center Drive, Ste#200, ,, Springdale, AR 72762RIA
CRD#: 283330
SPRINGDALE, AR
Current
February 23, 2007 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 4100 Corporate Center Drive Suite 410, Springdale, AR 72762BD
CRD#: 42046
Springdale, AR
Past
February 23, 2007 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
SPRINGDALE, AR
Past
March 5, 2003 - February 22, 2007
ARVEST WEALTH MANAGEMENT
RIA
CRD#: 42057
SPRINGDALE, AR
Past
March 5, 2003 - February 22, 2007
ARVEST WEALTH MANAGEMENT
BD
CRD#: 42057
SPRINGDALE, AR
Past
March 10, 2000 - March 21, 2003
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SPRINGDALE, AZ
Past
August 25, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
August 25, 1998 - March 21, 2003
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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
Arkansas(2/23/2007)
IAR
Arkansas(4/19/2016)
RR
California(7/8/2025)
RR
Florida(12/1/2009)
RR
Kentucky(11/7/2012)
RR
Missouri(2/10/2014)
RR
Oklahoma(5/17/2012)
RR
Texas(1/24/2025)
IAR
Texas(2/14/2025)
RR
Washington(6/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
