CD
Carrie J. Dick
KESTRA ADVISORY SERVICES
Scottsdale, AZ 85258
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CRD#: 4461603
CD
Professional summary
Carrie Jane Dick, AIF®, who also goes by Carrie Daniels, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Scottsdale, Arizona and KESTRA INVESTMENT SERVICES, LLC located in Scottsdale, Arizona.
Carrie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Carrie has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carrie Daniels
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: WILLINGLEAF HOLDINGS, LLC POSITION: Member NATURE: Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2020 ADDRESS: 9136 N 81st St, Scottsdale AZ 85258, United States DESCRIPTION: Maintaining the building and collecting rents Business Name: FRASSINO HOLDINGS, LLC POSITION: Member NATURE: Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/15/2022 ADDRESS: 9136 N 81st St, Scottsdale AZ 85258, United States DESCRIPTION: Maintaining the property and collecting rents Business Name: KEVIN DICK INVESTMENT MANAGEMENT GROUP, LLC POSITION: President NATURE: Holding company INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/23/2009 ADDRESS: 8901 E Pima Center Parkway, Suite 205, Scottsdale AZ 85258, United States DESCRIPTION: Accounting and accounts payable Business Name: KESTRA ADVISORY SERVICES, LLC POSITION: Managing Director, President NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 120 START DATE: 05/01/2024 ADDRESS: 5707 Southwest Parkway, Bldg 2, Ste 400, Austin TX 78735, United States DESCRIPTION: Servicing and advising clients in the capacity as an Investment Advisor Representative. Business Name: INTEGRATED TAX SOLUTIONS POSITION: Owner/Enrolled Agent* NATURE: Tax/Accounting/CPA INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2025 ADDRESS: 8901 E Pima Center Pkwy, SUITE 205, Scottsdale AZ 85258, United States DESCRIPTION: Preparing and filing tax documents, tax planning throughout year *Enrolled agent accreditation in progress
CRS (Client Relationship Summary) - RIA
Click below to view Carrie Jane Dick'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®
Experience
Current
May 2, 2024 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 8901 E Pima Center Parkway Suite 205, Scottsdale, AZ 85258RIA
CRD#: 283330
Scottsdale, AZ
Current
May 1, 2024 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 8901 E Pima Center Parkway Suite 205, Scottsdale, AZ 85258BD
CRD#: 42046
Scottsdale, AZ
Past
April 19, 2012 - May 2, 2024
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
TUCSON, AZ
Past
February 10, 2012 - May 2, 2024
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
TUCSON, AZ
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
Alabama(5/1/2024)
RR
Alaska(5/1/2024)
RR
Arizona(5/1/2024)
IAR
Arizona(5/8/2024)
RR
Arkansas(5/7/2024)
RR
California(5/1/2024)
RR
Colorado(5/1/2024)
RR
Connecticut(5/7/2024)
RR
Delaware(5/1/2024)
RR
District of Columbia(5/7/2024)
RR
Florida(5/1/2024)
RR
Georgia(5/1/2024)
RR
Hawaii(5/1/2024)
RR
Idaho(5/1/2024)
RR
Illinois(5/1/2024)
RR
Indiana(5/7/2024)
RR
Iowa(5/7/2024)
RR
Kentucky(5/1/2024)
RR
Maryland(5/1/2024)
RR
Massachusetts(5/1/2024)
RR
Michigan(5/7/2024)
RR
Minnesota(5/7/2024)
RR
Missouri(5/1/2024)
RR
Montana(5/1/2024)
RR
Nebraska(5/1/2024)
RR
Nevada(5/1/2024)
RR
New Jersey(5/1/2024)
RR
New Mexico(5/1/2024)
RR
New York(5/1/2024)
RR
North Carolina(5/7/2024)
RR
North Dakota(5/7/2024)
RR
Ohio(5/1/2024)
RR
Oklahoma(5/1/2024)
RR
Oregon(5/1/2024)
RR
Pennsylvania(5/7/2024)
RR
South Carolina(5/1/2024)
RR
South Dakota(5/1/2024)
RR
Texas(5/1/2024)
IAR
Texas(5/2/2024)
RR
Utah(5/1/2024)
RR
Vermont(5/7/2024)
RR
Virginia(5/1/2024)
RR
Washington(5/1/2024)
RR
West Virginia(5/7/2024)
RR
Wisconsin(5/1/2024)
RR
Wyoming(5/1/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
