AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AK

Ashley M. King

KESTRA ADVISORY SERVICES
Sturgis, MI 49091
Some features on this profile are disabled
CRD#: 5186916
AK

Professional summary

Ashley Marie King, who also goes by Ashley M Mcclain, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Sturgis, Michigan and KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.

Ashley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Ashley has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ashley M Mcclain

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.
Business Name: KEIM FINANCIAL GROUP POSITION: Registered Professional NATURE: Registered Field Assistant INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 03/16/2018 ADDRESS: 207 W Chicago Rd, Sturgis MI 49091 DESCRIPTION: Client reviews Client trade requests Initial prospect meetings Business Name: NOTARY POSITION: Notary NATURE: Notary INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2014 ADDRESS: 207 W Chicago Rd, Sturgis MI 49091 DESCRIPTION: Notarize documents Business Name: KESTRA ADVISORY SERVICES POSITION: Registered Professional NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/04/2024 ADDRESS: 5707 Southwest Parkway, Bldg 2, Ste 400, Austin TX 78735 DESCRIPTION: Client reviews client meetings initial prospect meetings client transactions and trades

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashley Marie King'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

September 4, 2024 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 207 W Chicago Rd, Sturgis, MI 49091
RIA
CRD#: 283330
Sturgis, MI
Current

September 4, 2024 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
BD
CRD#: 42046
Austin, TX
Past

June 29, 2023 - September 4, 2024

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
STURGIS, MI
Past

March 23, 2023 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
STURGIS, MI
Past

September 20, 2019 - September 4, 2024

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
STURGIS, MI
Past

March 22, 2018 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
STURGIS, MI
Past

July 18, 2016 - March 21, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
STURGIS, MI
Past

April 18, 2007 - August 3, 2016

LPL FINANCIAL LLC

BD
CRD#: 6413
STURGIS, MI

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
Indiana
(9/4/2024)
RR
Michigan
(9/4/2024)
IAR
Michigan
(9/4/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/12/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/15/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/17/2007
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)
KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)
KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts155,482
AUM (Assets Under Management)$ 60,174,309,829

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/23/2024
Cover Page
Report
10/20/2023
Cover Page
Report
12/21/2022
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.

Company Information

KESTRA ADVISORY SERVICES, LLC

CRD#: 283330Sturgis, MI 49091

TRUST BUT VERIFY

Monitor Ashley King

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

PD
Peter DubinAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Valley, NY
MC
Michael ConticelliAdvisorCheck Check Mark
INTERACTIVE FINANCIAL ADVISORS
IAR
Cape Coral, FL
BM
Brian MckeighenAdvisorCheck Check Mark
FBL WEALTH MANAGEMENT, LLC
IAR
RR
West Des Moines, IA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.