MA
Max K. Aten
KESTRA ADVISORY SERVICES
Springfield, IL 62704
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CRD#: 3225482
MA
Professional summary
Max K Aten, who also goes by Mick Aten, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Springfield, Illinois and KESTRA INVESTMENT SERVICES, LLC located in Springfield, Illinois.
Max is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Max has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mick Aten
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: KB Elliott Financial Advisors Investment Related: Yes Address: 3048 Spring Mill, Suite B Springfield IL 62704 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: Managing Partner/Principal Start Date: 8/3/2009 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Manage Springfield Office 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: IAR Start Date: 8/23/2017 Hours per month: 51% - 60% (81 - 96 hours) Hours per month during trading hours: 61% - 70% (85 - 98 hours) Duties: IAR Name: MKA CAPITAL POSITION: Owner NATURE: Administrative pass through INVESTMENT RELATED: No # OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 10/01/2023 ADDRESS: 3048 Spring Mill Drive, Springfield IL 62704, United States DESCRIPTION: None
CRS (Client Relationship Summary) - RIA
Click below to view Max K Aten'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
August 24, 2017 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 3048 Spring Mill Ste. B, Springfield, IL 62704RIA
CRD#: 283330
Springfield, IL
Current
August 23, 2017 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 3048 Spring Mill Ste. B, Springfield, IL 62704BD
CRD#: 42046
Springfield, IL
Past
August 23, 2017 - August 23, 2017
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
AUSTIN, TX
Past
August 3, 2009 - August 25, 2017
WFG ADVISORS, LP
RIA
CRD#: 125073
SPRINGFIELD, IL
Past
August 3, 2009 - August 25, 2017
WFG INVESTMENTS, INC.
BD
CRD#: 22704
SPRINGFIELD, IL
Past
March 27, 2002 - August 11, 2009
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
PEORIA, IL
Past
June 15, 1999 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
Past
June 15, 1999 - August 11, 2009
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
PEORIA, IL
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
Alabama(1/18/2022)
RR
Arizona(7/18/2019)
RR
California(11/27/2017)
RR
Colorado(9/24/2025)
RR
Florida(8/23/2017)
RR
Georgia(8/23/2017)
RR
Illinois(8/24/2017)
IAR
Illinois(8/24/2017)
RR
Indiana(8/29/2017)
RR
Iowa(5/30/2018)
RR
Maryland(9/11/2017)
RR
Minnesota(8/23/2017)
RR
Missouri(8/23/2017)
RR
Montana(8/23/2017)
RR
New York(1/21/2021)
RR
North Carolina(10/19/2017)
RR
Ohio(10/10/2017)
RR
South Carolina(8/23/2017)
RR
Tennessee(8/23/2017)
RR
Texas(2/14/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Springfield, IL 62704TRUST BUT VERIFY
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