KR
Katherine A. Robertson
KESTRA ADVISORY SERVICES
DALLAS, TX 75231
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CRD#: 4656158
KR
Professional summary
Katherine Ann Robertson, who also goes by Katherine Ann Marx, Katherine Ann Robinson, Katherine Ann Trkay, Katherine Trkay, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Dallas, Texas and KESTRA INVESTMENT SERVICES, LLC located in Dallas, Texas.
Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Katherine has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katherine Ann Marx | Katherine Ann Robinson | Katherine Ann Trkay | Katherine Trkay
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: 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: Smith, Frank & Partners Investment Related: Yes Address: 5400 LBJ Freeway Ste. 1250 Dallas TX 75240 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Employee Start Date: 8/13/2003 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: investment management
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Ann Robertson'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 20, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 10300 N Central Expwy Ste 467, Dallas, TX 75231RIA
CRD#: 283330
DALLAS, TX
Current
September 17, 2003 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5400 Lbj Freeway, Suite 1250, Dallas, TX 75240BD
CRD#: 42046
Dallas, TX
Past
September 17, 2003 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
DALLAS, TX
Past
July 2, 2003 - July 21, 2003
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
DALLAS, TX
Past
June 19, 2003 - July 21, 2003
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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
Arkansas(1/25/2012)
RR
California(1/25/2012)
RR
Colorado(1/25/2012)
RR
Florida(12/17/2010)
RR
Georgia(1/25/2012)
RR
Louisiana(1/25/2012)
RR
Missouri(1/25/2012)
RR
New Jersey(9/5/2018)
RR
South Carolina(1/25/2012)
RR
Texas(9/17/2003)
IAR
Texas(4/20/2016)
RR
Utah(10/21/2016)
RR
Virginia(10/11/2018)
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.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Dallas, TX 75231TRUST BUT VERIFY
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