Nathaniel D. Mcnulty
KESTRA ADVISORY SERVICES
Lexington, KY
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CRD#: 5268444
Professional summary
Nathaniel David Mcnulty, CFP®, who also goes by Nathan David Mcnulty, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Lexington, Kentucky and KESTRA INVESTMENT SERVICES, LLC located in Lexington, Kentucky.
Nathaniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Nathaniel has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nathan David Mcnulty
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: Meritrust Wealth Management LLC Investment Related: Yes Address: 462 S. Fourth Street, Ste 2600 Louisville KY 40202 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment representative Start Date: 9/15/2009 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Meet with clients, investment management, financial planning, etc. Name: Kestra Advisory Services Investment Related: Yes Address: 333 W. Vine Street, Ste 1000 Lexington KY 40507 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Financial Advisor Start Date: 1/1/2021 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Financial Advisor Name: SETON SCHOOL COUNCIL POSITION: Council member NATURE: School Council for my kids' Catholic school INVESTMENT RELATED: No # OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2022 ADDRESS: Seton Catholic School, 1740 Summerhill Drive, Lexington KY 40515 DESCRIPTION: Discuss big picture decisions and direction for our school Name: CO-CHAIR OF CAPITAL CAMPAIGN FOR CHURCH & SCHOOL POSITION: Co-Chair of Capital Campaign NATURE: Co-Chair of a capital campaign INVESTMENT RELATED: No # OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 08/26/2025 ADDRESS: 1740 Summerhill Drive, Lexington KY 40515, United States DESCRIPTION: 1. Assume responsibility for and oversee the entire campaign effort and, in particular, the gift gathering phases and volunteer team 2. Enlist, solicit, and supervise the activities of those immediately under me on the Gift Gathering Team and meet deadlines in accordance with the designated schedule 3. Attend & participate in scheduled campaign cabinet meetings and the various gift gathering team orientation, training, and report meetings/events. 4. Serve as chief spokesperson for the campaign, speaking at various services and/or events 5. Subscribe to campaign personally - hopefully at a leadership or pacesetting level - before inviting the financial participation of others. 6. Assist in gift gathering activities as a caller or in some capacity on the scheduled nights of our follow up phon-a-thon 6. Assist in the gathering of key leadership and pacesetting gifts 7. Assist with gift gathering activities as a caller or in some capacity on the scheduled nights of our follow up phoneathon. 8. Serves on, or finds a replacement to serve on, the Campaign Continuing Committee after the active phase of the campaign.
CRS (Client Relationship Summary) - RIA
Click below to view Nathaniel David Mcnulty'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: 2009
Experience
Current
November 16, 2018 - Present
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Lexington, KY
Current
November 16, 2018 - Present
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
LEXINGTON, KY
Past
May 2, 2014 - March 11, 2019
MWM ADVISORY
RIA
CRD#: 166411
LOUISVILLE, KY
Past
December 2, 2009 - February 3, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
LEXINGTON, KY
Past
September 14, 2009 - November 26, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
LEXINGTON, KY
Past
April 30, 2007 - September 11, 2009
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
LOUISVILLE, KY
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
Alaska(10/7/2024)
RR
Colorado(4/20/2021)
RR
Connecticut(1/19/2021)
RR
Florida(11/16/2018)
RR
Georgia(11/16/2018)
RR
Indiana(11/16/2018)
RR
Kansas(10/7/2024)
RR
Kentucky(11/16/2018)
IAR
Kentucky(11/16/2018)
RR
Massachusetts(3/22/2021)
RR
Missouri(12/23/2024)
RR
Nevada(3/22/2021)
RR
New Mexico(10/7/2024)
RR
New York(3/11/2019)
RR
North Carolina(1/21/2021)
RR
Ohio(2/2/2024)
RR
Tennessee(10/7/2024)
RR
Texas(3/22/2021)
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
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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.
