JS
Joseph Stone
KESTRA ADVISORY SERVICES
DENVER, CO 80205
Some features on this profile are disabled
CRD#: 437356
JS
Professional summary
Joseph Stone is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Denver, Colorado and KESTRA INVESTMENT SERVICES, LLC located in Hingham, Massachusetts.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. Joseph has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 1 and Series 24 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: MSW Investment Related: Yes Address: 35 Wanders Drive Hingham MA 02043 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Owner Start Date: 7/31/1997 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Hiring and firing my employees. purchasing equipment and services. 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: David B Rudolph Insurance Trust Investment Related: No Address: 35 Wanders Drive Hingham MA 02043 Nature of Business: Insurance; Legal/Attorney/Trustee/Executor Position, Title or Relationship: Owner Start Date: 7/3/1990 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: To be a co-rustee of an old life contract- Business Name: SUSAN S. STONE REVOCABLE TRUST POSITION: Co trustee NATURE: Legal/Attorney/Trustee/Executor INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/09/2023 ADDRESS: 35 Wanders Drive, Hingham MA 02043 DESCRIPTION: as trustee
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Stone'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
April 20, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 1070 33rd Street, Denver, CO 80205RIA
CRD#: 283330
DENVER, CO
Current
August 6, 1997 - Present
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
HINGHAM, MA
Past
January 21, 2009 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
HINGHAM, MA
Past
June 24, 1993 - August 6, 1997
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
January 3, 1982 - December 5, 2000
BERKSHIRE EQUITY SALES, INC.
BD
CRD#: 87
PITTSFIELD, MA
Past
October 20, 1980 - February 1, 1982
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
Past
December 1, 1972 - April 16, 1981
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
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(10/18/2024)
RR
California(1/23/2007)
RR
Colorado(1/10/2006)
IAR
Colorado(4/20/2016)
RR
Delaware(5/18/2023)
RR
Florida(4/7/1998)
RR
Illinois(5/14/1999)
RR
Maine(5/18/2004)
RR
Maryland(8/6/2014)
RR
Massachusetts(8/6/1997)
IAR
Massachusetts(8/1/2016)
RR
New Jersey(1/23/2007)
RR
New Mexico(8/17/2022)
RR
New York(3/27/2000)
RR
Rhode Island(10/18/2024)
RR
Texas(1/19/2007)
RR
Virginia(3/6/2007)
RR
Washington(8/3/2021)
RR
Wisconsin(8/28/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 11/21/1972
Registered Representative ExaminationPrincipal/Supervisory 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.
