Benjamin S. Shaddox

KESTRA ADVISORY SERVICES

SPRINGDALE, AR 72762

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CRD#: 3091114

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.

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

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Stephen Shaddox's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2006

Experience

Current

April 19, 2016 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 4100 Corporate Center Drive, Ste#200, ,, Springdale, AR 72762

RIA

CRD#: 283330

SPRINGDALE, AR

Current

February 23, 2007 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 4100 Corporate Center Drive Suite 410, Springdale, AR 72762

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

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

CRD#: 4039

NEW YORK, NY

Past

August 25, 1998 - March 21, 2003

EQUITABLE ADVISORS, LLC

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".

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.

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

Arkansas
(2/23/2007)

IAR

Arkansas
(4/19/2016)

California
(7/8/2025)

Florida
(12/1/2009)

Kentucky
(11/7/2012)

Missouri
(2/10/2014)

Oklahoma
(5/17/2012)

Texas
(1/24/2025)

IAR

Texas
(2/14/2025)

Washington
(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

What does exam status mean?

State Security Law Exam

IAR

Series 65

Status Unavailable

Passed: 6/3/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 8/24/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 10/4/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Status Unavailable

Passed: 8/24/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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

1,359

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (8/20/2026)

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (5/29/2026)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (5/29/2026)

Regulatory assets under management

Total Number of Accounts	192,439
AUM (Assets Under Management)	$ 79,798,091,767

Accountant 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

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.

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Advisor Monitoring

Firm Stability Insights

Benjamin S. Shaddox

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Stephen Shaddox's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

ARVEST WEALTH MANAGEMENT

ARVEST WEALTH MANAGEMENT

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Passed: 6/3/1999

Series 63

Passed: 8/24/1998

SIE

Passed: 10/1/2018

Series 7

Passed: 10/4/1999

Series 6

Passed: 8/24/1998

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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