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Anna M. Sohm

KESTRA ADVISORY SERVICES
ROCHESTER, IL
·CRD# 4148204·26 years experience

Professional Summary

Anna M. Sohm, who also goes by Anna M. Sohm Ms., Anna M. Sohn, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Rochester, Illinois and KESTRA INVESTMENT SERVICES, LLC located in Chatham, Illinois. Anna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Anna has worked at 3 firms and has passed the Series 66, SIE and Series 7...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Anna M. Sohm Ms., Anna M. Sohn

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

26 years in the financial services industry

Current & Past Employments

KESTRA ADVISORY SERVICES, LLC·CRD# 283330
RIA
1. Rochester, IL2. 450 N. Main, Chatham, IL 62629
September 2, 2016 - Present
KESTRA INVESTMENT SERVICES, LLC·CRD# 42046
BD
450 N. Main, Chatham, IL 62629
September 2, 2016 - Present
KESTRA INVESTMENT SERVICES, LLC·CRD# 42046
RIA
Austin, TX
September 2, 2016 - September 22, 2016
EQUITABLE ADVISORS, LLC·CRD# 6627
RIA
Rochester, IL
January 2, 2001 - September 8, 2016
EQUITABLE ADVISORS, LLC·CRD# 6627
BD
Rochester, IL
June 1, 2000 - September 8, 2016

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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 - SEC (12/31/1998 Approved)

Contact Information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Phone Number

(844) 553-7872

# of Employees

1,359

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (9/22/2026)

Regulatory Assets Under Management

Total Number of Accounts

192,439

AUM (Assets Under Management)

$79,798,091,767

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
12/01/2025Cover PageReport
12/23/2024Cover PageReport
10/20/2023Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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: Jefferson Middle School Investment Related: No Address: 1900 W. Monroe Springfield IL 62704 Nature of Business: Other Other/None of the Above Coaching middle school runners Position, Title or Relationship: Head Coach Start Date: 8/1/2001 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Making the children run and teaching them sport Business Name: Coonrod Financial Group Investment Related: Yes Address: 450 N. Main St. Chatham IL 62629 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Financial Advisor Start Date: 9/2/2016 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Assist clients in wealth building through securities and facilitating life insurance applications. Business Name: Kestra Advisory Services LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 9/2/2016 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100 Business Name: ANNA'S SOAP MAKING POSITION: Soap maker hobby NATURE: Selling homemade soaps INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 12/21/2022 ADDRESS: 510 Parkview Drive, Rochester IL 62563, United States DESCRIPTION: Making organic soap bars Business Name: SPRINGFIELD MUNI OPERA POSI: President Elect Board Member NOB: Board position (Board of Directors, Board of Trustees, etc.) INV REL: N #OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/20/2022 ADDRESS: 815 E. Lake Shore Dr., Springfield IL 62712 DESC: Volunteer driven organization that keeps up the Muni site location for shows during the summer months. Ticketing, site clean up such as stick pick up, seating assignments, help transferring elderly to seats, concession stand work, bathroom cleanliness and playbill distribution for all 4 shows. Effective November 1, 2023 I have been nominated as President Elect. This will mean I will serve in a Vice President capacity from Nov 1 2023 until Nov 1 2024 at which time I will become President for a one year term. Therefore, I will serve on the executive committee for a period of 2 full years with the organization. Upon the 3rd year, I will go back to a board of managers member only and will only be assigned committee duties as was the case for my term on the board from Oct 2022 to Nov 2023.

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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 - SEC (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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Georgia
(11/14/2024)
RR
Illinois
(9/2/2016)
IAR
Illinois
(9/2/2016)
RR
Minnesota
(12/12/2024)
RR
Missouri
(9/2/2016)
RR
Oklahoma
(9/2/2016)
RR
Texas
(9/22/2023)
IAR
Texas
(9/22/2023)
RR
Utah
(10/23/2025)
RR
Virginia
(9/12/2022)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jun 2000About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 2000About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Anna M. Sohm's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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