Michael R. Pedlow
KESTRA ADVISORY SERVICES | Executive Vice President and Chief Compliance Officer
Austin, TX 78735
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CRD#: 4871563
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 Series 24 exams.
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 his leadership, financial professionals experience a uniquely proactive, collaborative, and supportive team of consultants, including Advertising Compliance, Retirement Plan Compliance, and Firm Policy. He attributes this fresh, highly engaged approach to his years of working as an independent financial professional.
Previously, he held senior compliance positions as vice president of Investment Advisory Compliance at NFP, and as RIA compliance officer at Raymond James Financial Services.
Mike holds a Bachelor of Arts in economics from the University of South Florida and multiple industry licenses, including the FINRA Series 7, 24, and 66.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael R Pedlow
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.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Ross Pedlow'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 19, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735RIA
CRD#: 283330
Austin, TX
Current
June 25, 2010 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Ste 400, Austin, TX 78735BD
CRD#: 42046
Austin, TX
Past
May 8, 2012 - May 9, 2012
DELESSERT FINANCIAL SERVICES INC
RIA
CRD#: 106005
WALTHAM, MA
Past
July 7, 2010 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
AUSTIN, TX
Past
August 13, 2009 - June 17, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
ST. PETERSBURG, FL
Past
March 1, 2006 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
ST. PETERSBURG, FL
Past
May 25, 2005 - June 17, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
January 4, 2005 - May 18, 2005
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
Texas(7/7/2010)
IAR
Texas(4/19/2016)
Exams
State Security Law Exam
State Security Law 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
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Company Information
KESTRA ADVISORY SERVICES, LLC
Executive Vice President and Chief Compliance OfficerCRD#: 283330Austin, TX 78735TRUST BUT VERIFY
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