MA
Mark D. Aridgides
KESTRA ADVISORY SERVICES
SOUTH BURLINGTON, VT 05403
Some features on this profile are disabled
CRD#: 4216957
MA
Professional summary
Mark D Aridgides, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in South Burlington, Vermont and KESTRA INVESTMENT SERVICES, LLC located in South Burlington, Vermont.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Mark has worked at 5 firms and has passed the Series 66, SIE, Series 31 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 (NY), LLC Investment Related: Yes Address: 620 Hinesburg Road South Burlington VT 05403 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: Financial Advisor Start Date: 4/4/2011 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Financial Planning 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: 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 services Business Name: CATMARK ENTERPRISES LLC Investment Related: No Address: 790 Stonefence Rd Richmond VT 05477 Nature of Business: Other Other/None of the Above plane ownership Position, Title or Relationship: owner Start Date: 2/12/2020 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: owner #9 CAT'S COVE POSITION: Property Owner NATURE: Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2021 ADDRESS: #9 Cat's Cove, Pigeon Cay VI 00000, United States DESCRIPTION: Wife runs Airbnb site, local property manager runs guests.
CRS (Client Relationship Summary) - RIA
Click below to view Mark D Aridgides'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®
Experience
Current
April 21, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 620 Hinesburg Rd Suite 200, South Burlington, VT 05403RIA
CRD#: 283330
SOUTH BURLINGTON, VT
Current
April 18, 2011 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 620 Hinesburg Rd. Suite 200, South Burlington, VT 05403BD
CRD#: 42046
South Burlington, VT
Past
April 26, 2011 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
AUSTIN, TX
Past
August 16, 2004 - October 28, 2009
CHITTENDEN SECURITIES, LLC.
BD
CRD#: 45190
BURLINGTON, VT
Past
September 24, 2003 - July 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
VIRGINIA BEACH, VA
Past
September 24, 2003 - July 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 25, 2001 - June 24, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
VIRGINIA BEACH, VA
Past
August 28, 2000 - June 24, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
Arizona(1/4/2016)
RR
California(6/29/2021)
RR
Colorado(4/17/2023)
RR
Florida(9/28/2012)
RR
Illinois(4/24/2020)
RR
Massachusetts(4/22/2024)
RR
Michigan(4/18/2022)
RR
New Hampshire(8/6/2015)
RR
New Jersey(12/16/2011)
RR
New York(12/16/2011)
RR
North Carolina(10/14/2024)
RR
Pennsylvania(1/24/2022)
RR
Rhode Island(5/21/2025)
RR
Tennessee(7/19/2024)
RR
Vermont(4/26/2011)
IAR
Vermont(4/21/2016)
RR
Virginia(10/15/2018)
Exams
State Security Law Exam
General Industry/Product 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
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)
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.
