HH
Hugh F. Hale
KESTRA ADVISORY SERVICES
Fernandino Beach, FL
Some features on this profile are disabled
CRD#: 4652329
HH
Professional summary
Hugh Franklin Hale III, who also goes by Hugh Franklin Hale III, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Fernandino Beach, Florida and KESTRA INVESTMENT SERVICES, LLC located in Savannah, Georgia.
Hugh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Hugh has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Hugh Franklin Hale Iii
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.
Busi Name: Kestra Advisory Services, LLC Invest Rel: Y Address: 5707 Southwest Pkwy, Bldg 2 ste 400 Austin TX 78735 NOB: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Financial Advisor Start Date: 7/29/2021 Hrs per month: 81% - 90% (129 - 144 hrs) Hrs per month during trading hrs: 51% -60%(71 -84 hrs) Duties: Meet w/ clients, review investment portfolios, continue to update files as goals and needs change. quarterly reviews with current clients Busi Name:POSITION: Financial Advisor NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 220 SECURITIES TRADING HOURS: 200 START DATE: 07/29/2021 ADDRESS: 5 Oglethorpe professional Blvd., Savannah GA 31406, United States DESCRIPTION: Financial planning manage investment portfolios work with CPA/ attorney/ third party TPA review and communicate with clients Service all accounts and maintain account Busi Name: OXYGEN FINANCIAL TAX AND BUSINESS SERVICES, LLC POSITION: advisor/consultant NATURE: Consulting INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 07/29/2021 ADDRESS: 35 Old Canton Street, Alpharetta GA 30009, United States DESCRIPTION: Clients that have a need for business consulting but not for full financial plan. Busi Name:FINANCIAL ARCHITECTS OF THE LOW COUNTRY,LLC POSITION: Agent/owner NATURE: Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 12/01/2010 ADDRESS: 5 Oglethorpe professional Blvd., Savannah GA 31406, United States DESCRIPTION: Discuss with clients life insurance needs and objectives. Determine income replacement needs, estate planning tax needs, business buy sale arrangement funding etc. For professionals and executives we discuss gap coverage for LTD plans and provide solutions through individual Busi Name: HFH FINANCIAL INC. POSITION: owner/ agent NATURE: Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 07/28/2016 ADDRESS: 5 Oglethorpe Professional Blvd.,suite 220, Savannah GA 31406, United States DESCRIPTION: provide health insurance and group disability products for Companies. Review renewal rates, shop rates for more competitive prices. Service Clients with questions or issues with pharmacies etc.
CRS (Client Relationship Summary) - RIA
Click below to view Hugh Franklin Hale III'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
July 30, 2021 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 5 Oglethorpe Professional Boulevard Suite 220, Savannah, GA 31401RIA
CRD#: 283330
Fernandino Beach, FL
Current
July 29, 2021 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5 Oglethorpe Professional Boulevard Suite 220, Savannah, GA 31401BD
CRD#: 42046
Savannah, GA
Past
September 27, 2016 - July 29, 2021
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
RIA
CRD#: 149124
SAVANNAH, GA
Past
September 16, 2016 - July 29, 2021
CAPITAL INVESTMENT GROUP, INC.
BD
CRD#: 14752
SAVANNAH, GA
Past
July 2, 2014 - September 14, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
SAVANNAH, GA
Past
June 27, 2014 - September 14, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
SAVANNAH, GA
Past
February 22, 2011 - June 6, 2013
EQUITY SERVICES, INC.
RIA
CRD#: 265
SAVANNAH, GA
Past
February 17, 2011 - June 6, 2013
EQUITY SERVICES, INC.
BD
CRD#: 265
SAVANNAH, GA
Past
April 1, 2010 - February 22, 2011
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SAVANNAH, GA
Past
November 7, 2007 - March 16, 2010
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SAVANNAH, GA
Past
November 30, 2004 - March 16, 2010
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SAVANNAH, GA
Past
July 25, 2003 - December 8, 2004
NCF FINANCIAL SERVICES, INC.
BD
CRD#: 120471
DURHAM, NC
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(8/5/2021)
RR
California(5/28/2024)
RR
Delaware(8/8/2024)
RR
Florida(8/10/2021)
IAR
Florida(9/8/2021)
RR
Georgia(7/29/2021)
IAR
Georgia(7/30/2021)
RR
Illinois(4/26/2024)
RR
Kentucky(8/2/2021)
IAR
Kentucky(7/5/2022)
RR
Maryland(5/7/2024)
RR
Massachusetts(8/2/2021)
RR
New Jersey(8/8/2024)
RR
North Carolina(8/3/2021)
RR
Oregon(6/18/2024)
RR
Pennsylvania(8/8/2024)
RR
South Carolina(7/29/2021)
IAR
Texas(7/30/2021)
RR
Texas(8/2/2021)
RR
Washington(8/4/2021)
Exams
State Security Law Exam
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.
