KF
Kevin L. Fuqua
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CRD#: 4459722
KF
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kevin Lane Fuqua was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2001. Kevin had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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: 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: 3/8/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: investment advisor representativeBusiness Name: Neighborhood House Investment Related: No Address: 201 N 25th Street Louisville KY 40212 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Director Start Date: 10/1/2012 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Board memberBusiness Name: MCM CPA's and Advisors Investment Related: No Address: 462 South 4th Street, suite 2500 Louisville KY 40202 Nature of Business: Tax/Accounting/CPA Position, Title or Relationship: Partner - in charge of the tax department Start Date: 10/1/2004 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Oversee the tax area and service cleintsBusiness Name: Meritrust Holdings Investment Related: No Address: 462 South 4th Street, 2500 Meidinger Tower Louisville KY 40202 Nature of Business: Other Other/None of the Above see above Position, Title or Relationship: owner Start Date: 1/1/2010 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: noneBusiness Name: Meritrust Wealth Management Investment Related: Yes Address: 462 South Fourth Street, 2500 Meiding tower Louisville KY 40202 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: member Start Date: 1/1/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: referral
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
April 15, 2019 - November 29, 2023
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Louisville, KY
Past
March 26, 2019 - November 29, 2023
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
LOUISVILLE, KY
Past
July 3, 2014 - March 11, 2019
MWM ADVISORY
RIA
CRD#: 166411
LOUISVILLE, KY
Past
February 2, 2005 - November 17, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
LOUISVILLE, KY
Past
February 2, 2005 - November 26, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
LOUISVILLE, KY
Past
January 15, 2004 - January 24, 2005
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
August 13, 2003 - December 31, 2003
L.M. KOHN & COMPANY
RIA
CRD#: 27913
LOUISVILLE, KY
Past
August 13, 2003 - December 31, 2003
L.M. KOHN & COMPANY
BD
CRD#: 27913
CINCINNATI, OH
Past
November 9, 2001 - August 6, 2003
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
KI
KESTRA INVESTMENT SERVICES, LLC
KESTRA INVESTMENT SERVICES, LLC | PARTNERS SECURITIES, INC. | NFP SECURITIES, INC. | NFP SECIRITIES, INC. | NFP ADVISOR SERVICES, LLC | NFP ADVISOR SERVICES
CRD#: 42046 / SEC#: , 8-49672
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
5707 Southwest Parkway 2-125, Austin, TX 78746
Mailing Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Phone number
(844) 553-7872
Established
Texas since 09/01/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
