MS
Mark R. Small
KESTRA ADVISORY SERVICES
DALLAS, TX
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CRD#: 4494575
MS
Professional summary
Mark Ray Small is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Dallas, Texas and KESTRA INVESTMENT SERVICES, LLC located in Dallas, Texas.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Mark has worked at 3 firms and has passed the Series 63, SIE and Series 7 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: Mark Small, CPA Investment Related: No Address: 3848 Port Royal Dr Dallas TX 75244 Nature of Business: Tax/Accounting Position, Title or Relationship: Owner Start Date: 1/1/1998 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Prepare tax returns; provide tax analysis and consulting. Business Name: Halcyon Wealth Advisors, LLC Investment Related: Yes Address: 6565 N. MacArthur Blvd; Ste 460 Irving TX 75039 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Rep, Insurance Agent Start Date: 1/1/2009 Hours per month: 81% - 90% (129 - 144 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: Consult with clients and prospects re application of appropriate strategies and products 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: Rental Property Investment Related: Yes Address: 4216 Rosser Sq Dallas TX 75244 Nature of Business: Real Estate Position, Title or Relationship: Owner Start Date: 6/1/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Maintenance and ongoing rent collection Business Name: COWTOWN FINANCIAL PLANNING POSITION: Investment Advisor Rep, Insurance Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 120 START DATE: 04/01/2024 ADDRESS: 3848 Port Royal Dr, Dallas TX 75244, United States DESCRIPTION: Consult with clients and prospects re application of appropriate strategies and products. Place appropriate products and planning strategies. Work with management on growth and operations of the firm.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Ray Small'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 29, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
DALLAS, TX
Current
February 26, 2009 - Present
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Dallas, TX
Past
February 26, 2009 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
IRVING, TX
Past
October 28, 2008 - October 30, 2008
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
IRVING, TX
Past
May 12, 2006 - July 23, 2009
LEGACY HARBOR
RIA
CRD#: 118187
PLANO, TX
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
Arkansas(4/28/2009)
RR
California(11/30/2015)
RR
Colorado(7/26/2012)
RR
District of Columbia(5/31/2019)
RR
Florida(8/19/2009)
RR
Georgia(10/30/2015)
RR
Indiana(3/23/2021)
RR
Kentucky(11/26/2019)
RR
Louisiana(6/9/2014)
RR
Maryland(1/23/2025)
RR
Massachusetts(9/21/2023)
RR
Minnesota(4/8/2009)
RR
New Mexico(1/5/2022)
RR
New York(1/19/2025)
RR
North Carolina(3/23/2021)
RR
Ohio(9/2/2025)
RR
Texas(2/26/2009)
IAR
Texas(4/29/2016)
RR
Washington(6/5/2017)
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.
