Brian T. Rosenbaum

KESTRA ADVISORY SERVICES

Lutherville, MD 21093

Some features on this profile are disabled

CRD#: 4023301

Professional summary

Brian Thomas Rosenbaum, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Lutherville, Maryland and KESTRA INVESTMENT SERVICES, LLC located in Lutherville, Maryland.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Brian has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 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.

KESTRA ADVISORY SERVICES, LLC POSITION: Financial Advisor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/16/2021 ADDRESS: 5707 Southwest Parkway, Building 2 suite 400, Austin TX 78735, United States DESCRIPTION: Financial professional servicing clients with standard and customary insurance, advisory and brokerage related services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Thomas Rosenbaum's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2005

Experience

Current

November 17, 2021 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 2330 W. Joppa Rd Suite 195, Lutherville, MD 21093

RIA

CRD#: 283330

Lutherville, MD

Current

November 17, 2021 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 2330 W. Joppa Rd. Suite 195, Lutherville, MD 21093

CRD#: 42046

Lutherville, MD

Past

August 7, 2002 - November 17, 2021

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

LUTHERVILLE, MD

Past

May 2, 2002 - November 17, 2021

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

LUTHERVILLE, MD

Past

September 24, 1999 - May 16, 2002

LUTHERAN BROTHERHOOD SECURITIES CORP.

CRD#: 4205

MINNEAPOLIS, MN

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".

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.

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

Arizona
(2/25/2022)

California
(11/17/2021)

Colorado
(11/17/2021)

Connecticut
(11/17/2021)

Delaware
(11/19/2021)

District of Columbia
(11/17/2021)

Florida
(11/17/2021)

Georgia
(3/15/2022)

Maine
(11/17/2021)

Maryland
(11/17/2021)

IAR

Maryland
(11/17/2021)

Massachusetts
(11/17/2021)

Minnesota
(11/17/2021)

Montana
(11/17/2021)

New Jersey
(11/17/2021)

New York
(11/17/2021)

North Carolina
(11/18/2021)

Pennsylvania
(11/17/2021)

South Carolina
(11/17/2021)

Texas
(11/17/2021)

Virginia
(11/17/2021)

Washington
(11/17/2021)

West Virginia
(4/21/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/15/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/22/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/4/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/22/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/24/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

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	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

Similar Advisors

Brian Mckinney

COMMONWEALTH FINANCIAL NETWORK

IAR

Columbia, MD

Gary Williams

COMMONWEALTH FINANCIAL NETWORK

IAR

Columbia, MD

Lawrence Leitch

LPL FINANCIAL LLC

IAR

TOWSON, MD

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian T. Rosenbaum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Thomas Rosenbaum's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

LUTHERAN BROTHERHOOD SECURITIES CORP.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/15/2002

Series 63

Date: 9/22/1999

SIE

Date: 10/1/2018

Series 7

Date: 3/4/2002

Series 6

Date: 9/22/1999

Series 24

Date: 6/24/2002

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors