SF
Stephen I. Falk
KESTRA ADVISORY SERVICES
Richardson, TX 75080
Some features on this profile are disabled
CRD#: 4758114
SF
Professional summary
Stephen Ira Falk, CFP®, who also goes by Stephen Falk, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Richardson, Texas and KESTRA INVESTMENT SERVICES, LLC located in Richardson, Texas.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Stephen has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Falk
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.
Bus Name: Westbrooks Dugger & Westbrooks Financial, Inc. DBA WDW Financial Investment Related: Yes Address: 2600 N. Central Expy, Suite 575 Richardson TX 75080 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Partner & Advisor Start Date: 3/1/2002 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Advising clients Bus 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: IAR Start Date: 10/18/2018 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Advisor, Financial Planner Bus Name: Temple Shalom Investment Related: No Address: 6930 Alpha Road Dallas TX 75240 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: board member, treasurer Start Date: 1/1/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: be an ambassador, volunteer time Bus Name: Hillels of North Texas Investment Related: No Address: 1920 N Coit Road, Suite 200314 Richardson TX 75080 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: President, Board Chair Start Date: 7/1/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: run board meetings, be an ambassador to the organization Bus Name: Anti Defamation League Investment Related: No Address: 5720 LBJ Fwy Dallas TX 75240 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.); Community/Charitable/Civic Volunteer (Non-Leadership Position) Position, Title or Relationship: member of board, non-leadership Start Date: 1/1/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: be an ambassador to the organization Bus Name: WDW TAX SERVICES POSITION: Owner of WDW Financial, which owns WDW Tax Services, LLC. NATURE: Tax/Accounting/CPA INVESTMENT RELATED: No, # OF HOURS: 2 SECURITIES TRADING HOURS: 3 START DATE: 02/20/2025 ADDRESS: 2600 N. Central Expy, Suite 575, Richardson TX 75080, United States DESCRIPTION: As an owner of WDW Financial, I will be involved directly and indirectly in the leadership and management of WDW TaxServices, LLC.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Ira Falk'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®
Experience
Current
October 18, 2018 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 2600 N. Central Expwy. 575, Richardson, TX, 75080RIA
CRD#: 283330
Richardson, TX
Current
October 18, 2018 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2600 N. Central Expressway #750, Richardson, TX 75080BD
CRD#: 42046
Richardson, TX
Past
July 7, 2014 - October 18, 2018
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
RICHARDSON, TX
Past
September 3, 2013 - October 18, 2018
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
RICHARDSON, TX
Past
February 15, 2005 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
DALLAS, 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(10/18/2018)
RR
Arizona(1/24/2020)
RR
Arkansas(10/18/2018)
RR
California(10/18/2018)
RR
Colorado(10/18/2018)
RR
Florida(10/18/2018)
RR
Georgia(10/18/2018)
RR
Idaho(4/23/2024)
RR
Indiana(2/20/2024)
RR
Iowa(6/27/2022)
RR
Kansas(7/22/2021)
RR
Louisiana(10/18/2018)
RR
Massachusetts(10/18/2018)
RR
Minnesota(3/6/2025)
RR
Mississippi(10/18/2018)
RR
Missouri(10/18/2018)
RR
Nevada(10/18/2018)
RR
New Hampshire(10/18/2018)
RR
New Mexico(10/18/2018)
RR
North Carolina(3/26/2024)
RR
Ohio(2/20/2025)
RR
Oklahoma(10/18/2018)
RR
Oregon(10/18/2018)
RR
Pennsylvania(10/18/2018)
RR
South Carolina(5/23/2022)
RR
Tennessee(10/18/2018)
RR
Texas(10/18/2018)
IAR
Texas(10/18/2018)
RR
Virginia(10/18/2018)
RR
Washington(10/18/2018)
RR
Wisconsin(2/27/2020)
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.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Richardson, TX 75080TRUST BUT VERIFY
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