Nancy J. Tuininga

KESTRA PRIVATE WEALTH SERVICES

Austin, TX 78735

Some features on this profile are disabled

CRD#: 4304343

Professional summary

Nancy Jane Tuininga, who also goes by Nancy Jane Baldner, is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in Austin, Texas and KESTRA INVESTMENT SERVICES, LLC located in San Diego, California.

Nancy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Nancy has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nancy Jane Baldner

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: PROSPERITY POINT WEALTH MANAGEMENT (DBA) Investment Related: Yes Address: 3570 CARMEL MOUNTAIN ROAD STE 150 SAN DIEGO CA 92130 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through an independent outside RIA Position, Title or Relationship: CONSULTANT Start Date: 7/3/2014 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Investment/Securities/Life Insurance and LTC advising and Financial Planning

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nancy Jane Tuininga's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 2, 2014 - Present

KESTRA PRIVATE WEALTH SERVICES, LLC

Office #1: 5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735

RIA

CRD#: 155193

Austin, TX

Current

July 2, 2014 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 3570 Carmel Mountain Road Suite 150, San Diego, CA 92130

CRD#: 23988

LONG ISLAND CITY, NY

Past

December 13, 2002 - February 5, 2003

CAL FED INVESTMENTS

CRD#: 19631

SACRAMENTO, CA

Past

February 7, 2002 - December 10, 2002

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

December 6, 2000 - January 29, 2002

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

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".

KESTRA PRIVATE WEALTH SERVICES, LLC

CRD#: 155193 / SEC#: 801-71936

RIA

Registered Investment Advisory firm - (11/22/2010 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.

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

California
(7/2/2014)

IAR

California
(7/2/2014)

Florida
(7/2/2014)

Hawaii
(1/5/2017)

Idaho
(7/2/2014)

Massachusetts
(1/2/2019)

Nebraska
(7/2/2014)

Nevada
(7/2/2014)

Texas
(4/17/2025)

IAR

Texas
(4/17/2025)

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

State Security Law Exam

IAR

Series 66

Date: 12/13/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/9/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/5/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KESTRA PRIVATE WEALTH SERVICES, LLC

CRD#: 155193 / SEC#: 801-71936

RIA

Registered Investment Advisory firm - (11/22/2010 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 Bldg. 2 Ste 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

198

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA PRIVATE WEALTH SERVICES, LLC ADVISORENTERPRISE WRAP FEE BROCHURE (10/21/2025)

KPWS - BROCHURE (10/21/2025)

Regulatory assets under management

Total Number of Accounts	27,816
AUM (Assets Under Management)	$ 10,210,576,595

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

Similar Advisors

Steven Gallegos

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Austin, TX

Eric Pomerantz

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Austin, TX

Jeffrey Weeks

ATX PORTFOLIO ADVISORS, LLC

IAR

Austin, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nancy J. Tuininga

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nancy Jane Tuininga's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

CAL FED INVESTMENTS

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

Primary Firm SEC Registration

KESTRA PRIVATE WEALTH SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/13/2003

Series 63

Date: 2/9/2001

SIE

Date: 10/1/2018

Series 7

Date: 12/5/2000

FINRA

Current Firm

KESTRA PRIVATE WEALTH SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA PRIVATE WEALTH SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors