Michael Ross Pedlow
Professional Summary
Michael Ross Pedlow, who also goes by Michael R Pedlow, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Austin, Texas and KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas. Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 14 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Biography
As Chief Compliance Officer for Kestra Financial and Kestra Private Wealth Services, Mike directs all aspects of Compliance to ensure alignment with regulatory policy, while helping independent financial professionals meet the expectations of regulators as they conduct their day-to-day business. Working to balance the risk and reward challenges within the tightly regulated financial sector, Mike and his team actively seek to influence policy, rules, and laws that may impact financial professionals and their practice. Under...
Other Aliases
Michael R Pedlow
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
linkedin.com/in/xxxxxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
Contact Information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735Phone Number
(844) 553-7872# of Employees
1,359SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
192,439AUM (Assets Under Management)
$79,798,091,767Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/01/2025 | Cover Page | Report |
| 12/23/2024 | Cover Page | Report |
| 10/20/2023 | Cover Page | Report |
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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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
State Registrations and Notice Filings
(7/7/2010)
(4/19/2016)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Michael Ross Pedlow's CRS (Customer Relationship Summary).
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