Rian Morrissey
KESTRA ADVISORY SERVICES
Denver, CO 80210
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CRD#: 5223913
Professional summary
Rian Morrissey, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Denver, Colorado and KESTRA INVESTMENT SERVICES, LLC located in Denver, Colorado.
Rian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Rian has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Business Name: Rental Property - Tabernash Colorado Investment Related: No Address: 400 County Road 514c Tabernash CO 80478 Nature of Business: Real Estate Position, Title or Relationship: Co-Owner Start Date: 11/30/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Manage Air BnB , cleaning people, etc. Business Name: MONEYPENNY LLC DBA SINDRICH & ASSOCIATES POSITION: Wealth Manager NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 80 START DATE: 04/09/2019 ADDRESS: 1490 S. Pearl Street, Denver CO 80210, United States DESCRIPTION: Case prep, leverage financial planning technology, support existing advisor relationships, monitor account performance
CRS (Client Relationship Summary) - RIA
Click below to view Rian Morrissey'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®
CFP®
Start date: 2022
Experience
Current
April 24, 2019 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 1490 S. Pearl St., Denver, CO 80210RIA
CRD#: 283330
Denver, CO
Current
April 24, 2019 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1490 S. Pearl, Denver, CO 80210BD
CRD#: 42046
Denver, CO
Past
January 11, 2019 - April 10, 2019
EDWARD JONES
RIA
CRD#: 250
DENVER, CO
Past
January 3, 2019 - April 10, 2019
EDWARD JONES
BD
CRD#: 250
DENVER, CO
Past
July 31, 2012 - January 8, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
CENTENNIAL, CO
Past
July 5, 2011 - July 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DENVER, CO
Past
June 21, 2011 - July 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DENVER, CO
Past
May 20, 2009 - May 25, 2011
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
DENVER, CO
Past
March 1, 2007 - May 5, 2009
GLOBAL ATLANTIC DISTRIBUTORS, LLC
BD
CRD#: 8326
WAYNE, PA
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(5/9/2023)
RR
California(5/9/2023)
RR
Colorado(4/24/2019)
IAR
Colorado(4/24/2019)
RR
Connecticut(5/9/2023)
RR
District of Columbia(11/8/2023)
RR
Florida(5/9/2023)
RR
Georgia(5/9/2023)
RR
Hawaii(7/10/2023)
RR
Idaho(5/9/2023)
RR
Illinois(5/9/2023)
RR
Indiana(11/8/2023)
RR
Iowa(5/9/2023)
RR
Kansas(5/9/2023)
RR
Maryland(12/22/2023)
RR
Massachusetts(5/9/2023)
RR
Minnesota(6/4/2024)
RR
Missouri(5/9/2023)
RR
Montana(5/9/2023)
RR
Nebraska(5/9/2023)
RR
Nevada(5/9/2023)
RR
New Hampshire(3/20/2025)
RR
New Jersey(5/9/2023)
RR
New Mexico(5/9/2023)
RR
New York(5/9/2023)
RR
North Carolina(5/9/2023)
RR
Ohio(11/9/2023)
RR
Oklahoma(5/9/2023)
RR
Pennsylvania(5/9/2023)
RR
South Carolina(5/9/2023)
RR
Texas(5/9/2023)
RR
Utah(5/9/2023)
RR
Virginia(5/9/2023)
RR
Washington(5/9/2023)
RR
Wisconsin(5/9/2023)
RR
Wyoming(5/9/2023)
Exams
State Security Law Exam
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
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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.
