AC
Allan J. Chappelle
KESTRA ADVISORY SERVICES
Birmingham, AL 35209
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CRD#: 44839
AC
Professional summary
Allan James Chappelle is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Birmingham, Alabama and KESTRA INVESTMENT SERVICES, LLC located in Birmingham, Alabama.
Allan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. Allan has worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 1, Series 24 and Series 00 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: Chappelle Consulting Group, Inc. Investment Related: Yes Address: 1747 Reese Street Suite 215 Birmingham AL 35209 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Legal/Attorney/Trustee/Executor; Investment Advisory services through Kestra Advisory Services, LLC; Other Other/None of the Above I don't do any of these! Position, Title or Relationship: Owner Start Date: 4/1/1985 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: I do a lot of consulting as a former tax attorney but I am not 'practicing law'. Business Name: Chappelle Properties, LLC Investment Related: No Address: 1747 Resse Street Birhingham AL 35209 Nature of Business: Real Estate Position, Title or Relationship: Owner Start Date: 2/1/2011 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Owner. I hav a person who I pay to manage the property for me. 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: CCG WEALTH MANAGEMENT, INC. POSITION: Board of Directors, Secretary and Treasurer NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 01/01/2021 ADDRESS: 1747 Reese Street, Suite 215, Birmingham AL 35209 DESCRIPTION: My Partner Hunter Flack and I have been working with Davis Green and the Kestra legal department over the past 12 months to complete our succession planning. The business succession planning agreements cover death, disability, and retirement events for both of us (we will buy each other's business if those events occur). Additionally I am selling the business to Hunter Flack in 2025 or if I retire sooner, and Hunter is taking over the business then, so the legal agreements also cover this event. The new company CCG Wealth Management, Inc, was created for the business succession planning. The Kestra legal department has reviewed, approved, and has on file both Hunter's and my Kestra Business Succession Agreements and all the legal documents that we executed with our local attorney.
CRS (Client Relationship Summary) - RIA
Click below to view Allan James Chappelle'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 19, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 1747 Reese Street Suite 215, Birmingham, AL 35209RIA
CRD#: 283330
Birmingham, AL
Current
December 15, 2014 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1747 Reese Street Suite 215, Birmingham, AL 35209BD
CRD#: 42046
Birmingham, AL
Past
December 15, 2014 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
AUSTIN, TX
Past
September 12, 2014 - November 18, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
BIRMINGHAM, AL
Past
September 24, 2010 - November 4, 2014
FINANCIAL TELESIS INC
RIA
CRD#: 31012
BIRMINGHAM, AL
Past
September 24, 2010 - September 12, 2014
FINANCIAL TELESIS INC
BD
CRD#: 31012
BIRMINGHAM, AL
Past
January 2, 2009 - September 27, 2010
NRP ADVISORS, INC.
RIA
CRD#: 141430
BIRMINGHAM, AL
Past
January 2, 2009 - September 27, 2010
NRP FINANCIAL, INC.
BD
CRD#: 103717
BIRMINGHAM, AL
Past
January 7, 2004 - December 31, 2008
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
BIRMINGHAM, AL
Past
January 2, 2004 - December 31, 2008
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
May 6, 1993 - February 16, 1995
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
March 9, 1993 - December 31, 2003
FRANK CHAPPELLE & CO., INC.
BD
CRD#: 327
BIRMINGHAM, AL
Past
June 20, 1973 - February 12, 1993
FRANK CHAPPELLE & CO., INC.
BD
CRD#: 327
BIRMINGHAM, AL
Past
August 12, 1969 - June 20, 1973
FRANK CHAPPELLE & CO, INC.
BD
CRD#: 1000001
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(12/15/2014)
IAR
Alabama(4/19/2016)
RR
Georgia(12/15/2014)
RR
Mississippi(11/7/2019)
RR
Ohio(11/2/2018)
RR
South Carolina(12/15/2014)
RR
Texas(12/15/2014)
RR
Washington(10/9/2025)
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: 8/6/1969
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 00
Date: 6/20/1973
General Securities Principal ExaminationSRO 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Birmingham, AL 35209TRUST BUT VERIFY
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