Joseph F. Kroleski

KESTRA ADVISORY SERVICES

Paradise Valley, AZ

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CRD#: 5181873

Professional summary

Joseph Frank Kroleski, who also goes by Joseph Frank Kroleski III, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Paradise Valley, Arizona and KESTRA INVESTMENT SERVICES, LLC located in Tempe , Arizona.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Joseph has worked at 15 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph Frank Kroleski Iii

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Frank Kroleski's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 21, 2026 - Present

KESTRA ADVISORY SERVICES, LLC

Office #2: 63 S. Rockford Dr. Ste 100, Tempe , AZ 85288

RIA

CRD#: 283330

Paradise Valley, AZ

Current

December 15, 2025 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 63 S. Rockford Dr. Ste 100, Tempe , AZ 85288

CRD#: 42046

Tempe , AZ

Past

May 7, 2025 - December 1, 2025

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

PHOENIX, AZ

Past

July 24, 2023 - April 14, 2024

FINTRON ADVISORS, LLC

RIA

CRD#: 324052

Stamford, CT

Past

February 24, 2023 - March 27, 2024

APEX FINTECH BROKERAGE SERVICES

CRD#: 305818

DALLAS, TX

Past

July 1, 2021 - August 24, 2022

ETORO USA SECURITIES INC.

CRD#: 298361

Hoboken, NJ

Past

June 4, 2019 - April 5, 2021

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA

CRD#: 20804

SCOTTSDALE, AZ

Past

June 3, 2019 - April 5, 2021

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

SCOTTSDALE, AZ

Past

April 20, 2018 - December 31, 2018

PFG ADVISORS

RIA

CRD#: 173344

PHOENIX, AZ

Past

February 6, 2018 - December 31, 2018

CUE FINANCIAL GROUP, INC.

RIA

CRD#: 21033

PHOENIX, AZ

Past

September 27, 2017 - January 9, 2019

SECURITIES AMERICA, INC.

CRD#: 10205

PHOENIX, AZ

Past

January 9, 2017 - June 12, 2017

ALPINE SECURITIES CORPORATION

CRD#: 14952

SALT LAKE CITY, UT

Past

March 13, 2014 - December 16, 2016

SCOTTSDALE CAPITAL ADVISORS CORP

CRD#: 118786

SCOTTSDALE AZ, AZ

Past

January 18, 2011 - April 23, 2012

MERIDIAN UNITED CAPITAL, LLC

CRD#: 122924

SCOTTSDALE, AZ

Past

February 27, 2008 - June 8, 2010

VALMARK SECURITIES, INC.

CRD#: 31243

AKRON, OH

Past

October 20, 2006 - November 29, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MAYFIELD HEIGHTS, OH

Past

October 18, 2006 - November 29, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MAYFIELD HEIGHTS, OH

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".

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.

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

Arizona
(12/15/2025)

IAR

Arizona
(1/21/2026)

Georgia
(3/18/2026)

Indiana
(3/18/2026)

New Jersey
(12/16/2025)

Texas
(3/18/2026)

IAR

Texas
(3/19/2026)

Utah
(3/18/2026)

Washington
(3/18/2026)

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

State Security Law Exam

IAR

Series 66

Date: 1/23/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/29/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/17/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 7/14/2008

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/18/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

PREMIUM

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (11/24/2025)

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
12/01/2025	Cover Page	Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Joseph F. Kroleski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Frank Kroleski's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

FINTRON ADVISORS, LLC

APEX FINTECH BROKERAGE SERVICES

ETORO USA SECURITIES INC.

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

PFG ADVISORS

CUE FINANCIAL GROUP, INC.

SECURITIES AMERICA, INC.

ALPINE SECURITIES CORPORATION

SCOTTSDALE CAPITAL ADVISORS CORP

MERIDIAN UNITED CAPITAL, LLC

VALMARK SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/23/2018

Series 63

Date: 3/29/2014

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/17/2006

Series 53

Date: 7/14/2008

Series 24

Date: 3/18/2008

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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