AP
Adam D. Paoli
KESTRA ADVISORY SERVICES
Elmhurst, IL 60126
Some features on this profile are disabled
CRD#: 4989821
AP
Professional summary
Adam David Paoli, CLU®, who also goes by Adam D Paoli, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Elmhurst, Illinois and KESTRA INVESTMENT SERVICES, LLC located in Elmhurst, Illinois.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Adam has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Adam D Paoli
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.
Name: COLTIVA WEALTH PLANNING PARTNERS POSITION: Founder & Lead Wealth Planner NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/03/2019 ADDRESS: 132 N York Street, Suite 3K, Elmhurst IL 60126, United States DESCRIPTION: Provide financial advice to clients. Recommending financial products such as stocks, bonds, mutual funds, managed accounts, variable and fixed annuities and insurance products 2. Name: KESTRA ADVISORY SERVICES LLC POSITION: Wealth Planner NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/21/2021 ADDRESS: 5707 Southwest Pkwy, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: Provide financial advice to clients, recommending financial products such as stocks, bonds, mutual funds, managed accounts, variable annuities. Name: AFFETTO WEALTH MANAGEMENT POSITION: Financial Advisor NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 10/28/2021 ADDRESS: 132 N York St, Suite 1A, Elmhurst IL 60126-3070, United States DESCRIPTION: Provide financial advice to clients. Recommending financial products such as stocks, bonds, mutual funds, managed accounts, variable and fixed annuities and insurance products
CRS (Client Relationship Summary) - RIA
Click below to view Adam David Paoli'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 28, 2021 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 132 N York St Suite 3k, Elmhurst, IL 60126RIA
CRD#: 283330
Elmhurst, IL
Current
October 28, 2021 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 132 N York 3k, Elmhurst, IL 60126BD
CRD#: 42046
Elmhurst, IL
Past
July 2, 2009 - October 28, 2021
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
BUFFALO GROVE, IL
Past
July 1, 2009 - October 28, 2021
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
BUFFALO GROVE, IL
Past
March 1, 2006 - June 26, 2009
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
ROSEMONT, IL
Past
July 22, 2005 - June 26, 2009
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
ROSEMONT, IL
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
Arizona(10/28/2021)
RR
California(10/28/2021)
RR
Colorado(10/28/2021)
RR
Connecticut(10/28/2021)
RR
Florida(10/28/2021)
RR
Georgia(7/11/2023)
RR
Illinois(10/28/2021)
IAR
Illinois(10/28/2021)
RR
Indiana(10/28/2021)
RR
Iowa(10/28/2021)
RR
Kentucky(6/29/2023)
RR
Maryland(10/28/2021)
RR
Michigan(10/28/2021)
RR
Minnesota(10/28/2021)
RR
Missouri(10/28/2021)
RR
Nevada(10/28/2021)
RR
New Jersey(10/28/2021)
RR
New Mexico(4/10/2023)
RR
New York(10/28/2021)
RR
North Carolina(10/29/2021)
RR
Ohio(10/28/2021)
RR
Oregon(10/28/2021)
RR
Pennsylvania(10/28/2021)
RR
South Carolina(10/28/2021)
RR
Texas(10/28/2021)
IAR
Texas(10/29/2021)
RR
Wisconsin(10/28/2021)
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.
