RR
Richard Rydzik
KESTRA ADVISORY SERVICES
Oxford, CT 06478
Some features on this profile are disabled
CRD#: 5363887
RR
Professional summary
Richard Rydzik, who also goes by Rich Rydzik, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Oxford, Connecticut and KESTRA INVESTMENT SERVICES, LLC located in Oxford, Connecticut.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Richard has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rich Rydzik
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: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway, Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: financial advisor Start Date: 5/6/2019 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: investment advice, financial planning Business Name: FOLEY/CONNELLY FINANCIAL PARTNERS Investment Related: Yes Address: 37 Elm Street West Springfield MA 01089 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: financial advisor Start Date: 5/6/2019 Hours per month: 51% - 60% (81 - 96 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: investment advice and financial planning Business Name: Rydzik & Rydzik CPAs Investment Related: No Address: 4 Bronson Dr Beacon Falls CT 06403 Nature of Business: Tax/Accounting/CPA Position, Title or Relationship: accountant/analyst Start Date: 1/1/2018 Hours per month: 61% - 70% (97 - 112 hours) Hours per month during trading hours: 61% - 70% (85 - 98 hours) Duties: assisting in daily accountant work, data entry, excel spreadsheets
CRS (Client Relationship Summary) - RIA
Click below to view Richard Rydzik'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®
NoneExperience
Current
May 8, 2019 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 350 Center Rock Green Suite 4, Oxford, CT 06478RIA
CRD#: 283330
Oxford, CT
Current
May 7, 2019 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 350 Center Rock Green Suite 4, Oxford, CT 06478BD
CRD#: 42046
Oxford, CT
Past
February 5, 2015 - May 8, 2017
CION SECURITIES, LLC
BD
CRD#: 15487
NEW YORK, NY
Past
July 17, 2012 - November 5, 2014
WALTON SECURITIES, INC.
BD
CRD#: 143763
SCOTTSDALE, AZ
Past
August 12, 2008 - November 26, 2010
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
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
Connecticut(5/7/2019)
IAR
Connecticut(5/8/2019)
Exams
State Security Law 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
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)
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.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Oxford, CT 06478TRUST BUT VERIFY
Monitor Richard Rydzik
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
