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RL

Rod A. Locricchio

KESTRA ADVISORY SERVICES
SOUTHFIELD, MI 48033
Some features on this profile are disabled
CRD#: 4402202
RL

Professional summary

Rod Anthony Locricchio, who also goes by Rod Locricchio, Rod Locricchio, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Southfield, Michigan and KESTRA INVESTMENT SERVICES, LLC located in Southfield, Michigan.

Rod is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Rod has worked at 3 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 31 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Rod Locricchio | Rod Locricchio

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rod Anthony Locricchio'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

April 25, 2016 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 26400 Lahser Ste. 312, Southfield, MI 48033
RIA
CRD#: 283330
SOUTHFIELD, MI
Current

August 15, 2014 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 26400 Lahser, Ste. 312, Southfield, MI 48033
BD
CRD#: 42046
Southfield, MI
Past

April 30, 2015 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
AUSTIN, TX
Past

October 8, 2001 - March 5, 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
Michigan
(4/30/2015)
IAR
Michigan
(4/25/2016)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/23/2015
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/3/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/5/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/14/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 8/17/2001
Futures Managed Funds Examination
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)
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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)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (11/24/2025)
KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (11/24/2025)
KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (11/24/2025)

Regulatory assets under management

Total Number of Accounts155,482
AUM (Assets Under Management)$ 60,174,309,829

Accountant surprise examination report

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

Company Information

KESTRA ADVISORY SERVICES, LLC

CRD#: 283330Southfield, MI 48033

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