BD
Brendan D. Duggan
KESTRA ADVISORY SERVICES
Scottsdale, AZ
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CRD#: 3217260
BD
Professional summary
Brendan Doyle Duggan, who also goes by Brendan D Duggan, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Scottsdale, Arizona and KESTRA INVESTMENT SERVICES, LLC located in Phoenix, Arizona.
Brendan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Brendan has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brendan D Duggan
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.
Name: KESTRA ADVISORY SERVICES LLC POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 63 START DATE: 09/08/2021 ADDRESS: 5707 SW Parkway Building 2 Suite 400, Austin TX 78735, United States DESCRIPTION: Financial and Investment Advising NAME: PROMINENT PEAK WEALTH MANAGEMENT POSITION: I'm 50% owner, managing partner NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 80 START DATE: 09/08/2021 ADDRESS: 15436 E Dixileta Dr, Scottsdale AZ 85262, United States DESCRIPTION: Conduct business of the firm as 50% owner/managing partner. NAME: PROMINENT PEAK TAX AND ESTATE SERVICES POSITION: Owner NATURE: Besides outsourcing tax preparation, which this submission was originally approved for, we will now also be outsourcing basic estate planning services for clients. INVESTMENT RELATED: No # OF HOURS: 5 SECURITIES TRADING HOURS: 4 START DATE: 02/24/2023 ADDRESS: 15436 E Dixileta Dr, Scottsdale AZ 85262, United States DESCRIPTION: Hiring and firing of staff and monitoring of workflows Name: SKINFULLY RICH LLC POSITION: Signor on business bank account NATURE: retail business selling skin and body care products. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 7 START DATE: 08/01/2019 ADDRESS: 15436 E Dixileta Dr, Scottsdale AZ 85262, United States DESCRIPTION: None NAME: BEACHBUMZ LLC POSITION: Member/manager of LLC with spouse NATURE: Real Estate INVESTMENT RELATED: Yes # OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/03/2022 ADDRESS: 15436 E Dixileta Dr, Scottsdale AZ 85262, United States DESCRIPTION: None, this is a passive investment
CRS (Client Relationship Summary) - RIA
Click below to view Brendan Doyle Duggan'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 8, 2021 - Present
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Scottsdale, AZ
Current
September 8, 2021 - Present
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Phoenix, AZ
Past
April 23, 2013 - September 14, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
GLENDALE, AZ
Past
February 22, 2013 - September 14, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
GLENDALE, AZ
Past
January 29, 2002 - February 25, 2013
EDWARD JONES
BD
CRD#: 250
PHOENIX, AZ
Past
September 2, 1999 - December 3, 2001
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
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(9/8/2021)
IAR
Arizona(9/13/2021)
RR
California(9/8/2021)
RR
Colorado(12/18/2024)
RR
Florida(7/25/2024)
RR
Missouri(9/8/2021)
RR
Oregon(9/17/2021)
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
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.
