Carrie D. Cocanour
Professional summary
Carrie Dawn Cocanour, who also goes by Carrie Cocanour, Carrie Dawn Duvall, Carrie Duvall, Carrie Dawn Fox, Carrie Dawn Penna, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Fort Worth, Texas and KESTRA INVESTMENT SERVICES, LLC located in Fort Worth, Texas.
Carrie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Carrie has worked at 5 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Carrie Dawn Cocanour's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 6, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 2512 Horne Street, Suite 100, Fort Worth, TX 76107June 20, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2512 Horne St Suite 200, Fort Worth, TX 76107February 26, 2009 - December 31, 2013
PRINCIPAL SECURITIES, INC.
March 22, 2001 - October 3, 2002
ALLSTATE FINANCIAL SERVICES, LLC
January 6, 1999 - April 5, 2001
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/24/2023)
(1/20/2026)
(9/20/2023)
(5/24/2024)
(8/22/2025)
(10/25/2024)
(7/31/2023)
(8/14/2023)
(12/4/2023)
(7/14/2023)
(9/28/2023)
(7/17/2023)
(6/18/2024)
(6/6/2023)
(6/30/2023)
(7/17/2023)
(8/16/2023)
(7/14/2023)
Exams
Series 6TO
Date: 6/20/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
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 |
|---|---|---|
| 12/01/2025 | ||
| 12/23/2024 | ||
| 10/20/2023 |
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.
