CV
Chris M. Vanderwaal
KESTRA ADVISORY SERVICES
Battle Creek, MI 49017
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CRD#: 3101656
CV
Professional summary
Chris Michael Vanderwaal, AIF® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Battle Creek, Michigan and KESTRA INVESTMENT SERVICES, LLC located in Battle Creek, Michigan.
Chris is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Chris has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 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: 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: Worgess Agency Inc. DBA Worgess Insurance and Financial Investment Related: Yes Address: Two West Michigan Ave Suite 100 Battle Creek MI 49017 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 / Insurance Producer Start Date: 12/18/2017 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Meeting with clients and prospective clients to discuss their investment and insurance needs. Servicing clients on an ongoing basis to ensure their insurance and investment plans fit their ongoing needs. Helping with any insurance claims.
CRS (Client Relationship Summary) - RIA
Click below to view Chris Michael Vanderwaal'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
April 25, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: Two West Michigan Ave Ste. 100, Battle Creek, MI 49017RIA
CRD#: 283330
Battle Creek, MI
Current
March 26, 2004 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: Two West Michigan Ave Ste. 100, Battle Creek, MI 49017Office #2: 350 East Michigan Ave, Kalamazoo, MI 49007BD
CRD#: 42046
Battle Creek, MI
Past
February 23, 2011 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
Battle Creek, MI
Past
August 13, 1998 - March 31, 2004
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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
Arizona(4/26/2021)
RR
Arkansas(3/27/2012)
RR
Michigan(3/26/2004)
IAR
Michigan(4/25/2016)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Battle Creek, MI 49017TRUST BUT VERIFY
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