JS
John A. Sokol
KESTRA ADVISORY SERVICES
TYLER, TX 75701
Some features on this profile are disabled
CRD#: 4501227
JS
Professional summary
John Adam Sokol is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Tyler, Texas and KESTRA INVESTMENT SERVICES, LLC located in Tyler, Texas.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. John has worked at 2 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: Roseman Wealth Advisors Insight Portfolio Management John Sokol, LLC Investment Related: Yes Address: 3304 S. Broadway Ste. 202 Tyler TX 75701 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: Other,Entity is a Financial Planning firm with two owners...Alan Roseman and Chris Langford. I provide investment consulting, but am not an owner. Start Date: 1/15/2015 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: investment management 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: Tyler Economic Development Council Investment Related: No Address: 315 N. Broadway Avenue Suite 300 tyler TX 75701 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: committee member Start Date: 4/1/2018 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: investment oversight for the non-profit
CRS (Client Relationship Summary) - RIA
Click below to view John Adam Sokol'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 21, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 3304 S Broadway Suite 202, Tyler, TX 75701RIA
CRD#: 283330
TYLER, TX
Current
October 24, 2006 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 3300 S Broadway Ave Suite 102, Tyler, TX 75701BD
CRD#: 42046
Tyler, TX
Past
February 10, 2006 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
TYLER, 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
Alabama(3/27/2015)
RR
Arkansas(3/30/2020)
RR
Colorado(5/27/2014)
RR
Florida(7/15/2013)
RR
Georgia(3/13/2020)
RR
Illinois(5/25/2010)
RR
Louisiana(6/26/2015)
RR
Maryland(1/3/2020)
RR
Missouri(7/7/2020)
RR
Montana(1/3/2020)
RR
Nevada(4/30/2019)
RR
New Mexico(10/31/2018)
RR
Oklahoma(11/12/2020)
RR
Oregon(1/2/2019)
RR
South Carolina(11/2/2022)
RR
Texas(1/5/2007)
IAR
Texas(4/21/2016)
RR
Utah(11/12/2020)
RR
Virginia(6/6/2019)
RR
Washington(3/13/2020)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
