Victoria D. Buster
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Victoria Dohrman Buster, who also goes by VIcki Buster, Victoria Dohrman, was a registered financial professional .
Victoria is a previously registered financial professional and started their career in finance in 1999. Victoria had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2019 - March 26, 2021
KESTRA ADVISORY SERVICES, LLC
March 26, 2019 - March 26, 2021
KESTRA INVESTMENT SERVICES, LLC
July 3, 2014 - March 11, 2019
MWM ADVISORY
February 2, 2005 - November 17, 2016
LPL FINANCIAL LLC
February 2, 2005 - November 26, 2018
LPL FINANCIAL LLC
December 2, 2003 - January 13, 2005
MONY SECURITIES CORPORATION
December 2, 2003 - January 13, 2005
MONY SECURITIES CORPORATION
October 28, 2002 - December 2, 2003
TRUSTED SECURITIES ADVISORS CORP.
October 14, 2002 - December 2, 2003
TRUSTED SECURITIES ADVISORS CORP.
December 23, 1999 - October 10, 2002
1ST GLOBAL CAPITAL CORP.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
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.
