RP
Robert Peller
KESTRA ADVISORY SERVICES
New York, NY 10123
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CRD#: 4073140
RP
Professional summary
Robert Peller is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in New York, New York and KESTRA INVESTMENT SERVICES, LLC located in New York, New York.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 5 firms and has passed the Series 63, SIE and Series 6 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.
Business Name: PELLER WEALTH MANAGEMENT POSITION: PRINCIPAL NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 60 START DATE: 12/13/2017 ADDRESS: 450 7TH AVE, Suite 1301, NY NY 10123 DESCRIPTION: I am the sole Principal of the entity and I handle client interaction and retirement planning. Business Name: ROBERT PELLER POSITION: NOTARY PUBLIC NATURE: NOTARY PUBLIC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2017 ADDRESS: 450 7TH AVE, Suite 1301, NY NY 10123 DESCRIPTION: I NOTARIZE DOCUMENTS FOR CURRENT CLIENTS AS NEEDED-NO SOLICITATION TO THE PUBLIC Business Name: KESTRA ADVISORY SERVICES LLC POSITION: FINANCIAL ADVISOR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 60 START DATE: 02/01/2023 ADDRESS: 5707 SOUTHWEST PARKWAY, BUILDING 2 SUITE 400, AUSTIN TX 78735 DESCRIPTION: HANDLE CLIENT INTERACTION AND RETIREMENT PLANNING Business Name: PELLER FAMILY FOUNDATION POSITION: TREASURER NATURE: 501(C)3 INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/19/2016 ADDRESS: 9 Somerset Lane,, #520, edgewater NJ 07020 DESCRIPTION: MANAGE THE RECEIPT OF DONATIONS ALL OF WHICH COME FROM ME AND THE SUBSEQUENT CONTRIBUTIONS TO OTHE CHAROTABLE ORGANIZATIONS AS WELL AS FILING THE ANNUAL TAXES FOR THE ORGANIZATION Business Name: PELLER AND COMPANY, LLC POSITION: MANAGING MEMBER NATURE: Tax/Accounting/CPA INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 40 START DATE: 01/01/2000 ADDRESS: 450 7TH AVE, Suite 1301, NY NY 10123 DESCRIPTION: RUNNING THE DAY TO DAY OPERATIONS OF THE FIRM INCLUDING TAX CLIENT MEETINGS AND STAFF MANAGEMENT
CRS (Client Relationship Summary) - RIA
Click below to view Robert Peller'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
February 1, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 450 Seventh Ave Suite 1301, New York, NY 10123RIA
CRD#: 283330
New York, NY
Current
February 1, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 450 Seventh Avenue Suite 1301, New York, NY 10123BD
CRD#: 42046
New York, NY
Past
April 12, 2021 - February 24, 2023
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
NEW YORK, NY
Past
October 24, 2005 - February 24, 2023
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
NEW YORK, NY
Past
January 17, 2000 - October 24, 2005
C. J. M. PLANNING CORP.
BD
CRD#: 5698
POMPTON LAKES, NJ
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
Alaska(2/27/2023)
RR
California(2/1/2023)
RR
Colorado(2/1/2023)
RR
Connecticut(2/1/2023)
RR
District of Columbia(2/16/2023)
RR
Florida(2/1/2023)
RR
Georgia(2/1/2023)
RR
Maryland(2/1/2023)
RR
New Jersey(2/1/2023)
RR
New York(2/1/2023)
IAR
New York(2/1/2023)
RR
Pennsylvania(2/1/2023)
RR
Texas(4/22/2024)
RR
Vermont(10/30/2024)
RR
Virginia(2/1/2023)
RR
Washington(2/1/2023)
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
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.
