Kevin W. Foote
KESTRA PRIVATE WEALTH SERVICES | Director, Project Management
San Diego, CA 92130
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CRD#: 4426221
Professional summary
Kevin W Foote, who also goes by Kevin Wayne Foote, is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in San Diego, California and KESTRA INVESTMENT SERVICES, LLC located in San Diego, California.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kevin has worked at 7 firms and has passed the Series 66, SIE, Series 55, Series 7 and Series 24 exams.
Biography
With 10+ years of independent advisor experience, Kevin is the lead on new office onboarding and Advisor business analysis. He graduated from the University of Arizona, holds a Series 7, 24,55, and 66.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin Wayne Foote
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: Kestra Private Wealth Services Investment Related: Yes Address: 3570 Carmel Mountain Road, Ste. 150 San Diego CA 92130 Nature of Business: Registered Field Assistant Position, Title or Relationship: Operations Manager Start Date: 6/21/2017 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Operations support for securities consulting and investment
CRS (Client Relationship Summary) - RIA
Click below to view Kevin W Foote'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
June 27, 2017 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #1: 3570 Carmel Mountain Rd Suite 450, San Diego, CA 92130RIA
CRD#: 155193
San Diego, CA
Current
June 22, 2017 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 3570 Carmel Mountain Road Suite 150, San Diego, CA 92130BD
CRD#: 42046
San Diego, CA
Past
October 27, 2014 - May 10, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
October 27, 2014 - May 10, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
Past
January 31, 2007 - May 6, 2013
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
SAN DIEGO, CA
Past
January 31, 2007 - May 6, 2013
GIRARD SECURITIES, INC.
BD
CRD#: 18697
SAN DIEGO, CA
Past
July 21, 2006 - March 15, 2007
KEN STERN & ASSOCIATES INC
RIA
CRD#: 110092
SAN DIEGO, CA
Past
April 28, 2006 - January 26, 2007
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
Past
February 11, 2004 - April 13, 2006
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
SAN DIEGO, CA
Past
April 3, 2002 - April 13, 2006
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
SAN DIEGO, 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".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
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.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(6/22/2017)
IAR
California(6/27/2017)
RR
Texas(10/8/2024)
IAR
Texas(10/9/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/16/2005
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
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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)
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 | ||
| 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.
Company Information
KESTRA PRIVATE WEALTH SERVICES, LLC
Director, Project ManagementCRD#: 155193San Diego, CA 92130TRUST BUT VERIFY
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