Steven A. Schertel

KESTRA ADVISORY SERVICES

Springfield, IL 62704

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CRD#: 5307365

Professional summary

Steven Alan Schertel, who also goes by Steven A Schertel, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Springfield, Illinois and KESTRA INVESTMENT SERVICES, LLC located in Springfield, Illinois.

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

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven A Schertel

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: KB Elliot Investment Related: Yes Address: 3048 Spring Mill Drive Suite B Springfield IL 62704 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Registered Rep Start Date: 11/7/2018 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Advising clients and assisting with investment decisions.Business Name: Kestra Advisory Services llc Investment Related: Yes Address: 5707 Southwest Parkway Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 11/9/2018 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Investment Advisor Representative

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Alan Schertel'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

November 13, 2018 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 3048 Spring Mill Dr Suite B, Springfield, IL 62704

RIA

CRD#: 283330

Springfield, IL

Current

November 9, 2018 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 3048 Spring Mill Ste. B, Springfield, IL 62704

CRD#: 42046

Springfield, IL

Past

November 29, 2017 - September 27, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

HANNIBAL, MO

Past

November 27, 2017 - September 27, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

HANNIBAL, MO

Past

June 6, 2011 - December 4, 2017

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

HANNIBAL, MO

Past

June 3, 2011 - December 4, 2017

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

HANNIBAL, MO

Past

January 1, 2008 - June 3, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

HANNIBAL, MO

Past

January 1, 2008 - June 3, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

HANNIBAL, MO

Past

November 16, 2007 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

QUINCY, IL

Past

May 8, 2007 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

QUINCY, IL

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

Alabama
(11/9/2018)

Illinois
(11/9/2018)

IAR

Illinois
(11/13/2018)

Minnesota
(11/9/2018)

Missouri
(11/9/2018)

Ohio
(11/9/2018)

Washington
(11/9/2018)

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: 5/18/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/27/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/7/2007

General Securities Representative 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)

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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)

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 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	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.

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Advisor Monitoring

Firm Stability Insights

Steven A. Schertel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Alan Schertel's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/18/2007

SIE

Date: 9/27/2018

Series 7

Date: 5/7/2007

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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