CM
Christian Misa
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CRD#: 5030648
CM
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Christian Misa was a registered financial professional .
Christian is a previously registered financial professional and started their career in finance in 2010. Christian had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
***INSURANCE SALES POSITION: Owner - NATURE: Insurance - INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 2 - START DATE: 01/2014 - LOCATED AT: 141 W Main Street, Rockaway NJ 07866 ***DIRECTIONAL WEALTH MANAGEMENT POSITION: Advisor NATURE: Life Insurance, Long Term Care, Disability Insurance Group Health Insurance and Individual Health Insurance Individual/Group Dental Insurance Medicare supplement Insurance and Part D Prescription plans INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 2 START DATE: 01/09/2014 ADDRESS: 141 West Main Street, Rockaway NJ 07866 DESCRIPTION: Helping to uncover a need and provide information about Life Insurance, Long Term Care, Disability Insurance and Group Health Insurance and Individual Health Insurance Helping implement the plan and help them review their insurance coverages. Review their dental insurance. Looking for options for Medicare supplement plans and Part D prescriptions. ***DIRECTIONAL WEALTH MANAGEMNT POSITION: Advisor NATURE: SECURITIES AMERICA ADVISORS INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 09/01/2016 ADDRESS: 141 West Main Street, Rockaway NJ 07866 DESCRIPTION: Help answer basic question and help with paperwork DIRECTIONAL WEALTH MANAGEMENT POSITION: Field Assistant NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/02/2022 ADDRESS: 141 West Main Street, Rockaway NJ 07866, United States DESCRIPTION: Field Assistant KESTRA ADVISORY SERVICES LLC POSITION: Field Assistant NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/02/2022 ADDRESS: 5707 SouthWest BLVD, Building 2 - Suite 400, Austin TX 78735, United States DESCRIPTION: Field Assistant DIRECTIONAL BENEFITS POSITION: Insurance Broker NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 01/10/2010 ADDRESS: 141 West Main Street, Rockaway NJ 07866, United States DESCRIPTION: Helping propects/clients through the insurance process from identifying their need and advising the best possible solution. That goes with Life, Long Term care, Disability, Medicare Supplemental planning, Group and individuals with Health,Dental, Vision plan. Will offer reviews with clients to make sure that their insurance needs are met and if any updates are needed.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
May 10, 2022 - June 4, 2024
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Fairfield, NJ
Past
May 10, 2022 - June 4, 2024
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
FAIRFIELD, NJ
Past
September 23, 2016 - May 10, 2022
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
Rockaway, NJ
Past
September 23, 2016 - May 10, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Rockaway, NJ
Past
September 22, 2015 - September 23, 2016
WALL STREET FINANCIAL GROUP, INC.
RIA
CRD#: 35830
Rockaway, NJ
Past
January 2, 2015 - September 23, 2016
WALL STREET FINANCIAL GROUP, INC.
BD
CRD#: 35830
Rockaway, NJ
Past
March 3, 2014 - January 5, 2015
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
BOONTON, NJ
Past
March 27, 2012 - January 17, 2014
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
PARAMUS, NJ
Past
May 6, 2010 - January 10, 2011
DAVID LERNER ASSOCIATES, INC.
BD
CRD#: 5397
TEANECK, NJ
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
