MA
Mei L. Au
KESTRA ADVISORY SERVICES
EASLEY, SC
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CRD#: 4157085
MA
Professional summary
Mei Ling Au, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Easley, South Carolina and KESTRA INVESTMENT SERVICES, LLC located in Greenville, South Carolina.
Mei is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Mei has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 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: NFP Corporate Services (SE) Investment Related: Yes Address: 80 International Drive, Suite 425 Greenville SC 29615 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Employee Start Date: 5/8/2012 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Soliciting new clients, servicing existing clients, investment recommendations, development of financial plansBusiness 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: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory servicesBusiness Name: Mei Au Investment Related: No Address: 417 Brighton Circle Easley SC 29642 Nature of Business: Other Other/None of the Above Writing devotionals for Christian publication Position, Title or Relationship: Independent Contractor Start Date: 1/2/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Write a total of 9 faith based devotionals to encourage women in their Christian walk. MEI AU - CHRISTIAN WRITER POSITION: Independent Contractor NATURE: Christian writer INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2017 ADDRESS: 417 Brighton Circle, Easley SC 29642, United States DESCRIPTION: Wrote a total of 9 faith based devotionals to encourage women in their Christian walk for compensation. Contribute to women's devotions to Christian websites (not compensated)
CRS (Client Relationship Summary) - RIA
Click below to view Mei Ling Au'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®
CFP®
Start date: 2009
Experience
Current
April 18, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 300 Executive Center Dr Suite 103, Greenville, SC 29615RIA
CRD#: 283330
EASLEY, SC
Current
May 3, 2012 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 300 Executive Center Dr Suite 103, Greenville, SC 29615BD
CRD#: 42046
GREENVILLE, SC
Past
August 10, 2012 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
CHARLOTTE, NC
Past
May 3, 2012 - August 9, 2012
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
CHARLOTTE, NC
Past
June 29, 2009 - May 31, 2012
FINTRUST INVESTMENT ADVISORY SERVICES, LLC
RIA
CRD#: 139887
GREENVILLE, SC
Past
January 12, 2009 - May 31, 2012
FINTRUST BROKERAGE SERVICES, LLC
BD
CRD#: 41608
GREENVILLE, SC
Past
January 26, 2007 - December 31, 2008
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
GREENVILLE, SC
Past
November 22, 2005 - June 26, 2009
ELLIOTT DAVIS INVESTMENT ADVISORY SERVICES, LLC
RIA
CRD#: 119492
GREENVILLE, SC
Past
November 4, 2005 - February 16, 2007
AMERICAN SECURITIES GROUP, INC.
BD
CRD#: 43730
GREENVILLE, SC
Past
March 28, 2002 - November 15, 2005
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
GREENVILLE, SC
Past
March 8, 2002 - November 15, 2005
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
April 20, 2000 - February 11, 2002
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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
California(1/27/2025)
RR
Florida(5/3/2012)
RR
Georgia(5/3/2012)
RR
Illinois(7/5/2024)
RR
North Carolina(5/3/2012)
RR
South Carolina(5/3/2012)
IAR
South Carolina(4/18/2016)
RR
Texas(7/5/2024)
IAR
Texas(3/6/2025)
Exams
State Security Law Exam
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.
