JP
John A. Pomeroy
KESTRA ADVISORY SERVICES
KINGS PARK, NY 11754
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CRD#: 3154217
JP
Professional summary
John Alan Pomeroy, who also goes by John Alan Pomeroy, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Kings Park, New York and KESTRA INVESTMENT SERVICES, LLC located in Kings Park, New York.
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 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Alan Pomeroy
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.
MAIN STREET FINANCIAL GROUP POSITION: Financial Advisor NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/15/2022 ADDRESS: 80 East Main Street, Kings Park NY 11754, United States DESCRIPTION: I am joining this practice as a financial advisor. I will be working with my broker/dealer clients as well as my advisory clients. MJP WEALTH STRATEGIES INC. POSITION: President NATURE: managing finances of my investment practice INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/15/2010 ADDRESS: 80 East Main Street, Kings Park NY 11754, United States DESCRIPTION: I keep my financial records of my investment practice: revenue, expenses, etc. This info is forwarded to my accountant KESTRA ADVISORY SERVICES LLC POSITION: Financial Advisor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/15/2022 ADDRESS: 5707 SW Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: I am a Financial Advisor. I will be working with my broker/dealer clients as well as my advisory clients.
CRS (Client Relationship Summary) - RIA
Click below to view John Alan Pomeroy'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®
NoneExperience
Current
September 15, 2022 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 80 East Main St, Kings Park, NY 11754RIA
CRD#: 283330
KINGS PARK, NY
Current
September 15, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 80 East Main St, Kings Park, NY 11754BD
CRD#: 42046
Kings Park, NY
Past
March 30, 2010 - September 27, 2022
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
HAUPPAUGE, NY
Past
February 26, 2010 - September 27, 2022
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
HAUPPAUGE, NY
Past
May 29, 2007 - March 11, 2010
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
BAYSHORE, NY
Past
May 29, 2007 - March 11, 2010
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
BAYSHORE, NY
Past
December 7, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
BAYSHORE, NY
Past
September 5, 2000 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
BAYSHORE, NY
Past
January 12, 1999 - September 18, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, 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".
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(9/15/2022)
RR
Connecticut(9/15/2022)
RR
Delaware(9/15/2022)
RR
Florida(9/15/2022)
RR
Georgia(9/15/2022)
RR
New Hampshire(2/26/2025)
RR
New Jersey(9/15/2022)
RR
New York(9/15/2022)
IAR
New York(9/15/2022)
RR
North Carolina(10/5/2022)
RR
Pennsylvania(9/15/2022)
RR
South Carolina(9/15/2022)
RR
Tennessee(12/22/2022)
RR
Texas(9/15/2022)
IAR
Texas(9/15/2022)
RR
Vermont(9/15/2022)
RR
Virginia(9/15/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 283330Kings Park, NY 11754TRUST BUT VERIFY
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