BW
Brian D. Waiz
KESTRA ADVISORY SERVICES
New Albany, IN 47150
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CRD#: 4667607
BW
Professional summary
Brian Douglas Waiz is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in New Albany, Indiana and KESTRA INVESTMENT SERVICES, LLC located in Jeffersonville, Indiana.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Brian has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 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: 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 Representative Start Date: 8/14/2019 Hours per month: 41% - 50% (65 - 80 hours) Hours per month during trading hours: 31% - 40% (43 - 56 hours) Duties: Registered Rep Activities for group benefit plan accounts and Individual clients.Business Name: Assured Partners Investment Related: Yes Address: 3620 Blackiston Boulevard, Suite 100 New Albany IN 47150 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 Representative Start Date: 8/14/2019 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Responsible for managing investments for group retirement plan accounts and for new and existing individual clients.Business Name: William J. Waiz SR. LLC Investment Related: No Address: 83 Lost Creek Raod New Salisbury IN 47161 Nature of Business: Real Estate Position, Title or Relationship: Member only Start Date: 3/14/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: no duties
CRS (Client Relationship Summary) - RIA
Click below to view Brian Douglas Waiz'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
February 25, 2020 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 3620 Blackiston Blvd. Suite 100, New Albany, IN 47150Office #2: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735RIA
CRD#: 283330
New Albany, IN
Current
August 26, 2019 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 4500 Town Center Blvd Suite 200, Jeffersonville, IN 47130BD
CRD#: 42046
Jeffersonville, IN
Past
March 7, 2013 - July 5, 2019
GENEOS WEALTH MANAGEMENT, INC.
BD
CRD#: 120894
SELLERSBURG, IN
Past
July 27, 2007 - March 31, 2011
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
NEW ALBANY, IN
Past
May 1, 2006 - September 22, 2006
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
June 4, 2003 - December 31, 2005
TOUCHSTONE SECURITIES, INC.
BD
CRD#: 1526
CINCINNATI, OH
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
Indiana(8/26/2019)
IAR
Indiana(2/25/2020)
RR
Kentucky(9/19/2019)
RR
New York(2/24/2023)
RR
Ohio(9/20/2019)
RR
Tennessee(1/24/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
