AC
Ashley W. Caudle
KESTRA ADVISORY SERVICES
Marshall, TX 75670
Some features on this profile are disabled
CRD#: 5005415
AC
Professional summary
Ashley W. Caudle, who also goes by Ashley W Caudle, Ashley White Caudle, Ashley Lynn White, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Marshall, Texas and KESTRA INVESTMENT SERVICES, LLC located in Marshall, Texas.
Ashley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Ashley has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ashley W Caudle | Ashley White Caudle | Ashley Lynn White
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: Caudle Financial Services Investment Related: Yes Address: 203 E Travis St Marshall TX 75670 Nature of Business: Other Back Office Operations Position, Title or Relationship: owner Start Date: 5/16/2016 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: rent, payroll and taxes Name: Noble Wealth Advisors Investment Related: Yes Address: 203 E Travis St Marshall TX 75670 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: Financial Advisor Start Date: 8/20/2019 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Sales and services of securities, advisory and insurance products 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: Financial Advisor Start Date: 8/20/2019 Hours per month: 61% - 70% (97 - 112 hours) Hours per month during trading hours: 61% - 70% (85 - 98 hours) Duties: Advisory Services
CRS (Client Relationship Summary) - RIA
Click below to view Ashley W. Caudle'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
August 22, 2019 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 203 East Travis St, Marshall, TX 75670RIA
CRD#: 283330
Marshall, TX
Current
August 22, 2019 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 203 E Travis Street, Marshall, TX 75670BD
CRD#: 42046
Marshall, TX
Past
May 25, 2018 - August 26, 2019
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
MARSHALL, TX
Past
June 1, 2016 - August 26, 2019
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
MARSHALL, TX
Past
May 16, 2013 - May 20, 2016
BBVA SECURITIES INC.
BD
CRD#: 27060
MARSHALL, TX
Past
February 11, 2011 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
MARSHALL, TX
Past
October 18, 2007 - January 19, 2011
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
HENDERSON, TX
Past
August 17, 2005 - October 23, 2007
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
MARSHALL, 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
Arkansas(7/14/2022)
RR
California(2/1/2024)
RR
Louisiana(9/4/2019)
RR
New Mexico(1/4/2024)
RR
Oklahoma(9/3/2024)
RR
Tennessee(1/10/2024)
RR
Texas(8/22/2019)
IAR
Texas(8/22/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
