RT
Richard M. Tsoumas
KESTRA ADVISORY SERVICES
Battle Creek, MI 49015
Some features on this profile are disabled
CRD#: 3253796
RT
Professional summary
Richard Mark Tsoumas, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Battle Creek, Michigan and KESTRA INVESTMENT SERVICES, LLC located in Battle Creek, Michigan.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Richard has worked at 2 firms and has passed the Series 66, SIE and Series 7 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.
Busi Name: The Planning Group Investm Related: Yes Address: 500 Country Pine Ln, Ste 1 Battle Creek MI 49015 Nature of Busi: Reg Rep Activities through Kestra IS, LLC using a DBA name; Consulting; Ins.; Investm Advisory services through Kestra AS, LLC Position: practice leader and producing reg rep. Start: 8/20/1999 Hrs per Mo: More than 160 Hrs Hrs per Mo during trading Hrs: 127 - 140 Hrs Dts: General wealth mgmt and fin planning activities, including investm adv matters, retirement plan, risk mgmt, and life ins sales. Busi Name: Kestra Advisory Services, LLC Investm Related: Yes Address: 5707 Southwest Pkway Bldg 2, Ste 400 Austin TX 78735 Nature of Busi: Investm Advisory services through Kestra Advisory Services, LLC Position: Investm Advisor Representative Start: 4/4/2016 Hrs per Mo: Up to 100% (0 to 160 Hrs) Hrs per Mo during trading Hrs: Up to 100% (0 to 160 Hrs) Dts: Investm advisory services Busi Name: Guido A. & Elizabeth H. Binda Foundation Investm Related: No Address: 15 Capital Ave NE Suite 205 Battle Creek MI 49017 Nature of Busi: Board Position Position: Trustee - Board of Trustees, Treasurer; Finance Committee; Grants Review Committee Start: 7/1/1993 Hrs per Mo: 0 - 16 Hrs Hrs per Mo during trading Hrs 0 - 14 Hrs Dts: I provide oversight and strategy as a trustee at a board level. I am not involved in the day-to-day operation of the portfolio. We have outside investm managers for the $22mil portfolio. Busi Name: JoRic Investms, LLC. Investm Related: No Address: 500 Country Pine Lane, Ste 1 Battle Creek MI 49015 Nature of Busi: Board Position; Real Estate Position: 30% owner and co-manager Start: 9/15/2004 Hrs per Mo: 0 - 16 Hrs Hrs per Mo during trading Hrs: 0 - 14 Hrs Dts: Mgmt oversight, financial mgmt, maintain the books and records Busi Name: Country Pines Planning, LLC Investm Related: No Address: 500 Country Pine Lane, Ste 1 Battle Creek MI 49015 Nature of Busi: Real Estate Position: Manager/President ;sole owner and manager of the entity and property. Start: 4/1/2015 Hrs per Mo: 0 - 16 Hrs Hrs per Mo during trading Hrs: 0 - 14 Hrs Dts: I am the sole owner and manager of the entity and property. Busi Name: W. K. KELLOGG FOUNDATION TRUST POSITION: I would be one of four co-trustees of the WKKFT. NATURE: Legal/Attorney/Trustee/Executor INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 11/15/2023 ADDRESS: One Michigan Avenue East, Battle Creek MI 49017-4012 DESCRIPTION: The four Co-trustees are to provide fiduciary and governance oversight for the trust, assure that financial and legal obligations are met and coordinated with the Trust's sole beneficiary, the WKKF. There are generally quarterly meetings. Busi Name: RHS Ventures, LLC Investm Related: No Address: 500 Country Pine Ln, Ste 1 Battle Creek MI 49015 Nature of Busi: Real Estate Position: co-manager Start: 2/25/2005 Hrs per Mo: 0 - 16 Hrs Hrs per Mo during trading Hrs: 57 - 70 Hrs Dts: My wife is the owner ; I am listed as a co-manager as a back-up to her and my sister-in-law
CRS (Client Relationship Summary) - RIA
Click below to view Richard Mark Tsoumas'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®
CFP®
Start date: 2000
Experience
Current
April 25, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 500 Country Pine Lane, Suite 1, Battle Creek, MI 49015RIA
CRD#: 283330
Battle Creek, MI
Current
August 14, 1999 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 500 Country Pine Lane Suite 1, Battle Creek, MI 49015BD
CRD#: 42046
Battle Creek, MI
Past
January 20, 2010 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
BATTLE CREEK, MI
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(1/25/2022)
RR
California(12/5/2003)
RR
Colorado(6/28/2012)
RR
Connecticut(7/28/2025)
RR
Delaware(9/10/2018)
RR
Florida(8/20/1999)
RR
Georgia(12/17/2001)
RR
Hawaii(11/12/2012)
RR
Illinois(8/14/1999)
RR
Indiana(5/9/2000)
RR
Kentucky(5/5/2009)
RR
Maryland(8/14/1999)
RR
Massachusetts(1/25/2022)
RR
Michigan(8/20/1999)
IAR
Michigan(4/25/2016)
RR
Minnesota(10/9/2009)
RR
Montana(8/2/2006)
RR
Nebraska(5/30/2013)
RR
Nevada(10/10/2024)
RR
New Mexico(8/2/2006)
RR
New York(8/19/2019)
RR
North Carolina(9/13/2000)
RR
Ohio(8/16/1999)
RR
Oklahoma(1/14/2023)
RR
Oregon(8/6/2015)
RR
Pennsylvania(8/7/2001)
RR
South Carolina(2/10/2016)
RR
Tennessee(1/27/2022)
RR
Texas(12/18/2007)
IAR
Texas(7/26/2023)
RR
Virginia(12/2/2022)
RR
Washington(8/14/1999)
RR
Wisconsin(3/4/2021)
RR
Wyoming(1/25/2006)
Exams
State Security Law 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
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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#: 283330Battle Creek, MI 49015TRUST BUT VERIFY
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