RL
Ronald C. Lottridge
KESTRA ADVISORY SERVICES
AURORA, CO 80014
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CRD#: 4502823
RL
Professional summary
Ronald Christopher Lottridge, CFP®, who also goes by Ron Lottridge, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Aurora, Colorado and KESTRA INVESTMENT SERVICES, LLC located in Denver, Colorado.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Ronald has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ron Lottridge
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: Catalyst Retirement Advisors, LLC Investment Related: Yes Address: 7900 E. Union Ave., Ste. 120 Denver CO 80237 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance Position, Title or Relationship: LLC Managing Member Start Date: 4/1/2015 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Provide financial planning consulting as well as implementation of the planning work using investments, securities, and insurance 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 servicesBusiness Name: Denver Waldorf School Investment Related: No Address: 2100 S Pennsylvania St. Denver CO 80210 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Committee Member Start Date: 1/1/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: 2100 S Pennsylvania St, Denver, CO 80210
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Christopher Lottridge'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®
CFP®
Start date: 2005
Experience
Current
April 18, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 3190 S Vaughn Way Suite 550, Aurora, CO 80014RIA
CRD#: 283330
AURORA, CO
Current
June 1, 2009 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 7900 E. Union Ave Suite 120, Denver, CO 80237BD
CRD#: 42046
Denver, CO
Past
June 1, 2009 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
DENVER, CO
Past
May 6, 2004 - June 2, 2009
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
DENVER, CO
Past
May 6, 2004 - June 2, 2009
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
DENVER, CO
Past
November 25, 2003 - May 6, 2004
NEW ENGLAND SECURITIES
RIA
CRD#: 615
DENVER, CO
Past
February 25, 2002 - May 6, 2004
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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
Arizona(10/3/2014)
RR
Arkansas(10/21/2022)
RR
California(6/1/2009)
RR
Colorado(6/1/2009)
IAR
Colorado(4/18/2016)
RR
District of Columbia(11/19/2020)
RR
Florida(9/9/2014)
RR
Georgia(6/1/2009)
RR
Hawaii(8/22/2022)
RR
Idaho(10/30/2018)
RR
Illinois(7/7/2014)
RR
Iowa(6/1/2009)
RR
Michigan(2/19/2025)
RR
Montana(11/8/2018)
RR
Nebraska(6/24/2014)
RR
New Jersey(2/25/2019)
RR
New York(10/3/2014)
RR
North Carolina(9/7/2021)
RR
Ohio(11/8/2018)
RR
Pennsylvania(11/8/2018)
RR
Tennessee(8/8/2025)
RR
Texas(6/8/2009)
IAR
Texas(10/19/2023)
RR
Utah(11/8/2018)
RR
Wisconsin(11/8/2018)
RR
Wyoming(6/15/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
