Adam Sokolic

KESTRA INVESTMENT SERVICES

Austin, TX 78735

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CRD#: 5445751

Professional summary

Adam Sokolic, AIF®, who also goes by Adam Michael Sokolic, is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.

Adam is registered as a RR (Registered Representative) and started their career in finance in 2007. Adam has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Adam Michael Sokolic

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adam Sokolic'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

October 17, 2025 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 5707 Southwest Parkway Building 2, Ste 400, Austin, TX 78735

CRD#: 42046

Austin, TX

Past

March 22, 2019 - November 3, 2025

HUB INTERNATIONAL INVESTMENT SERVICES INC.

CRD#: 150252

Kansas City, MO

Past

March 19, 2015 - November 9, 2017

AMERICAN CENTURY INVESTMENT SERVICES INC.

CRD#: 17437

KANSAS CITY, MO

Past

November 30, 2010 - March 17, 2015

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

December 11, 2007 - November 30, 2010

NRP FINANCIAL, INC.

CRD#: 103717

CAPISTRANO BEACH, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Missouri
(10/17/2025)

Texas
(10/17/2025)

Exams

State Security Law Exam

Series 63

Date: 12/15/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 11/9/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/10/2007

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/10/2022

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046 / SEC#: , 8-49672

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

5707 Southwest Parkway 2-125, Austin, TX 78746

Mailing Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Phone number

(844) 553-7872

Established

Texas since 09/01/2014

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

Name	Position	CRD#
KESTRA FINANCIAL, INC	SOLE MEMBER
AMORE, JOHN VINCENT	PRESIDENT	5430932
CHESTER, KRISTEN LAWLESS	CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT	6896952
KANT, VINAY	CHIEF DIGITAL TECHNOLOGY OFFICER	7976827
PEDLOW, MICHAEL ROSS	CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT	4871563
POER, JAMES LYNN	CHIEF EXECUTIVE OFFICER	1983357
SCHOENBECK, MARK PAUL	EXECUTIVE VICE PRESIDENT	2625829
YIN, YIN	CONTROLLER	3219513
ZEGERS, SCOTT MATTHEW	CHIEF FINANCIAL OFFICER	4831659

Disclosures

Regulatory Event	14
Arbitration	2

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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Firm Stability Insights

Adam Sokolic

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adam Sokolic's CRS (Customer Relationship Summary).

Certified licenses

Experience

HUB INTERNATIONAL INVESTMENT SERVICES INC.

AMERICAN CENTURY INVESTMENT SERVICES INC.

LPL FINANCIAL LLC

NRP FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/15/2008

Series 99TO

Date: 1/2/2023

SIE

Date: 11/9/2017

Series 7

Date: 8/15/2017

Series 6

Date: 12/10/2007

Series 24

Date: 6/10/2022

FINRA

Current Firm

KESTRA INVESTMENT SERVICES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

KESTRA INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

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