John R. Kugel

KESTRA ADVISORY SERVICES

Wayne, PA 19406

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CRD#: 3144960

Professional summary

John Raymond Kugel is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Wayne, Pennsylvania and KESTRA INVESTMENT SERVICES, LLC located in Wayne, Pennsylvania.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. John has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 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.

1) 06/23/2021 - The Beacon Group - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2) 03/19/2024 - Beacon Financial Services - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 06/21/2021 - 40 Hours Per Month/ During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Raymond Kugel'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®

None

Experience

Current

March 4, 2025 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 1200 Liberty Ridge Dr Suite 110, Wayne, PA 19406

RIA

CRD#: 283330

Wayne, PA

Current

March 4, 2025 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 1200 Liberty Ridge Dr Suite 110, Wayne, PA 19406

CRD#: 42046

Wayne, PA

Past

March 13, 2023 - March 12, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

MATAWAN, NJ

Past

June 30, 2021 - March 12, 2025

LPL FINANCIAL LLC

CRD#: 6413

MATAWAN, NJ

Past

February 6, 2020 - April 22, 2020

FFEC WEALTH PARTNERS LLC

CRD#: 16507

SCOTTSDALE, AZ

Past

November 14, 2017 - February 14, 2019

ARCHER DISTRIBUTORS, LLC

CRD#: 158961

LAUREL, MD

Past

July 20, 2007 - July 3, 2017

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

April 28, 2006 - June 7, 2007

WALNUT STREET SECURITIES, INC.

CRD#: 15840

ISELIN, NJ

Past

April 28, 2006 - June 7, 2007

TOWER SQUARE SECURITIES, INC.

CRD#: 833

ISELIN, NJ

Past

April 28, 2006 - June 7, 2007

NEW ENGLAND SECURITIES

CRD#: 615

ISELIN, NJ

Past

April 28, 2006 - June 7, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

April 28, 2006 - June 7, 2007

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

ISELIN, NJ

Past

June 13, 2003 - May 14, 2004

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

December 13, 2002 - June 13, 2003

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

February 21, 2002 - December 13, 2002

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

April 27, 1999 - December 31, 2000

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

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

Delaware
(3/4/2025)

Indiana
(3/4/2025)

Maryland
(3/4/2025)

New Jersey
(3/4/2025)

IAR

New Jersey
(3/4/2025)

Pennsylvania
(3/4/2025)

IAR

Pennsylvania
(3/4/2025)

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

State Security Law Exam

IAR

Series 65

Date: 8/12/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/10/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/26/1999

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

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

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	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	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

John R. Kugel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Raymond Kugel's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FFEC WEALTH PARTNERS LLC

ARCHER DISTRIBUTORS, LLC

QUASAR DISTRIBUTORS, LLC

WALNUT STREET SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

NEW ENGLAND SECURITIES

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

PRUCO SECURITIES, LLC.

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/12/2022

Series 63

Date: 3/10/1999

SIE

Date: 10/1/2018

Series 7

Date: 12/21/2006

Series 6

Date: 4/26/1999

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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