Kacie L. Brown

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CRD#: 5368291

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kacie Leigh Brown, who also goes by Kacie L Mosmeyer, Kacie L. Mosmeyer, Kacie Leigh Mosmeyer, Kacie Mosmeyer, Kacie Leigh Wooten, was a registered financial professional .

Kacie is a previously registered financial professional and started their career in finance in 2007. Kacie had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kacie L Mosmeyer | Kacie L. Mosmeyer | Kacie Leigh Mosmeyer | Kacie Mosmeyer | Kacie Leigh Wooten

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: LISD BOND OVERSIGHT COMMITTEE POSITION: Co-Chair NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/15/2023 ADDRESS: 419 Bois D'Arc Street, Lockhart TX 78644 DESCRIPTION: Ensuring that the districts bond projects remain faithful to the voter-approved bond program scope of work and to monitor and ensure the bond projects are completed on time, with quality and within the $71 million budget. Business Name: MISSION FINANCIAL PLANNERS POSITION: Senior Client Service Associate NATURE: Registered Field Assistant INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 12/03/2024 ADDRESS: 601 NW Loop 410, Suite 210, San Antonio TX 78216, United States DESCRIPTION: Investment Assistant Activities

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 9, 2024 - April 16, 2025

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

San Antonio, TX

Past

December 9, 2024 - April 16, 2025

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

San Antonio, TX

Past

November 3, 2021 - April 17, 2024

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

AUSTIN, TX

Past

November 3, 2021 - April 17, 2024

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

August 23, 2021 - October 20, 2021

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

Austin, TX

Past

August 23, 2021 - October 20, 2021

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

Austin, TX

Past

July 31, 2013 - August 23, 2021

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

SAN MARCOS, TX

Past

May 16, 2013 - August 23, 2021

BBVA SECURITIES INC.

CRD#: 27060

SAN MARCOS, TX

Past

April 24, 2013 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

SAN MARCOS, TX

Past

October 1, 2012 - March 5, 2013

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

NEW BRAUNFELS, TX

Past

October 1, 2012 - March 5, 2013

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW BRAUNFELS, TX

Past

January 24, 2011 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

AUSTIN, TX

Past

January 24, 2011 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

AUSTIN, TX

Past

June 19, 2009 - April 21, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

LAKE WORTH, FL

Past

July 17, 2007 - April 21, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

LAKE WORTH, FL

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/15/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/27/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/27/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/16/2007

Investment Company Products/Variable Contracts Representative Examination

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

Kacie L. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/15/2009

Series 63

Date: 7/27/2007

SIE

Date: 10/1/2018

Series 7

Date: 4/27/2009

Series 6

Date: 7/16/2007

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

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