GF
Gregory J. Fuller
KESTRA ADVISORY SERVICES
Omaha, NE
Some features on this profile are disabled
CRD#: 4014541
GF
Professional summary
Gregory James Fuller, who also goes by Greg James Fuller, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Omaha, Nebraska and KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Gregory has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Greg James Fuller
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.
***SECURITIES AMERICA ADVISORS INVESTMENT ADVISORY - INVESTMENT RELATED - START DATE: 08/2012 - LOCATED AT 12325 PORT GRACE BLVD LA VISTA, NE 68128 - LESS THAN 1% TIME SPENT ***SAA POSITION: Sales Supervisor NATURE: ARBOR POINT ADVISORS -INVESTMENT ADVISOR REPRESENTATIVE INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 05/01/2013 ADDRESS: 12325 Port Grace BLVD, La Vista NE 68128 DESCRIPTION: Supervisor
CRS (Client Relationship Summary) - RIA
Click below to view Gregory James Fuller'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 5, 2021 - Present
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Omaha, NE
Current
August 3, 2021 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Ste 400, Austin, TX 78735BD
CRD#: 42046
Austin, TX
Past
May 28, 2013 - June 3, 2021
ARBOR POINT ADVISORS
RIA
CRD#: 165127
LA VISTA, NE
Past
August 2, 2012 - June 3, 2021
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
LA VISTA, NE
Past
March 11, 2011 - June 3, 2021
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
May 12, 2006 - February 11, 2011
QA3 FINANCIAL CORP.
BD
CRD#: 14754
OMAHA, NE
Past
April 22, 2006 - May 9, 2006
TD AMERITRADE, INC.
BD
CRD#: 7870
BELLEVUE, NE
Past
May 8, 2003 - April 22, 2006
TD AMERITRADE CLEARING, INC.
BD
CRD#: 5633
BELLEVUE, NE
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(8/3/2021)
RR
Alaska(8/3/2021)
RR
Arizona(8/3/2021)
RR
Arkansas(8/3/2021)
RR
California(8/3/2021)
RR
Colorado(8/3/2021)
RR
Connecticut(8/3/2021)
RR
Delaware(8/3/2021)
RR
District of Columbia(8/3/2021)
RR
Florida(8/3/2021)
RR
Georgia(8/3/2021)
RR
Hawaii(8/3/2021)
RR
Idaho(8/3/2021)
RR
Illinois(8/3/2021)
RR
Indiana(8/3/2021)
RR
Iowa(8/3/2021)
RR
Kansas(8/3/2021)
RR
Kentucky(8/3/2021)
RR
Louisiana(8/3/2021)
RR
Maine(8/3/2021)
RR
Maryland(8/3/2021)
RR
Massachusetts(8/3/2021)
RR
Michigan(8/3/2021)
RR
Minnesota(8/3/2021)
RR
Mississippi(8/3/2021)
RR
Missouri(8/3/2021)
RR
Montana(8/3/2021)
RR
Nebraska(8/4/2021)
IAR
Nebraska(8/5/2021)
RR
Nevada(8/3/2021)
RR
New Hampshire(8/3/2021)
RR
New Jersey(8/3/2021)
RR
New Mexico(8/3/2021)
RR
New York(8/3/2021)
RR
North Carolina(8/4/2021)
RR
North Dakota(8/3/2021)
RR
Ohio(8/4/2021)
RR
Oklahoma(8/3/2021)
RR
Oregon(8/3/2021)
RR
Pennsylvania(8/3/2021)
RR
Puerto Rico(8/3/2021)
RR
Rhode Island(8/3/2021)
RR
South Carolina(8/3/2021)
RR
South Dakota(8/3/2021)
RR
Tennessee(8/3/2021)
RR
Texas(8/3/2021)
IAR
Texas(8/9/2021)
RR
Utah(8/3/2021)
RR
Vermont(8/3/2021)
RR
Virgin Islands(8/3/2021)
RR
Virginia(8/3/2021)
RR
Washington(8/3/2021)
RR
West Virginia(8/3/2021)
RR
Wisconsin(8/3/2021)
RR
Wyoming(8/3/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/7/2004
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
