KW
Kyle N. Wardlaw
VICTORY FINANCIAL
Austin, TX 78730
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CRD#: 5493299
KW
Professional summary
Kyle Newt Wardlaw, who also goes by Kyle Newt Wardlaw, is a registered financial advisor currently at VICTORY FINANCIAL located in Austin, Texas and PURSHE KAPLAN STERLING INVESTMENTS located in Austin, Texas.
Kyle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Kyle has worked at 6 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kyle Newt Wardlaw
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.
Victory Financial Group, LLC (VFG) - SEC Registered Investment Advisor (RIA), investment related. Title / Role - President and CCO. Start Date - 05/01/2023. Address - At registered location. VFG is an RIA providing investment related services to clients of the firm. 100+ hours a month all during trading hours. Responsible for overall growth, compliance and operations of the firm. Victory Insurance, LLC (VI) - P&C Insurance. Investment Related. Title / Role - President. Start Date - 05/01/2023. Address - 6500 River Place Blvd. Building 1, Suite #203, Austin, TX 78730. VI is an insurance agency that provides personal lines and commercial lines of P&C coverage. 40 hours a month all during trading hours. Responsible for overall growth and operations of the firm. Fixed Insurance. Investment Related. At Registered location. Independent Insurance Agency. Agent. Fixed/traditional insurance. 5/2023. 40 hours/month all during trading hours. Provide insurance advice based on the needs of clients.
CRS (Client Relationship Summary) - RIA
Click below to view Kyle Newt Wardlaw'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 18, 2023 - Present
VICTORY FINANCIAL
Office #1: 6500 River Place Blvd. Bldg. 1, Ste. 203, Austin, TX 78730RIA
CRD#: 324943
Austin, TX
Current
May 26, 2023 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 6500 River Place Blvd. Building 1, Suite #203, Austin, TX 78730BD
CRD#: 35747
Austin, TX
Past
March 10, 2014 - April 28, 2023
LION STREET ADVISORS, LLC
RIA
CRD#: 167610
AUSTIN, TX
Past
March 10, 2014 - April 28, 2023
LION STREET FINANCIAL, LLC
BD
CRD#: 165828
AUSTIN, TX
Past
March 16, 2010 - March 10, 2014
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
AUSTIN, TX
Past
March 16, 2010 - March 10, 2014
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
AUSTIN, TX
Past
May 19, 2009 - March 10, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
BD
CRD#: 104162
AUSTIN, TX
Past
April 7, 2009 - May 19, 2009
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
AUSTIN, TX
Past
June 30, 2008 - May 19, 2009
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
AUSTIN, TX
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".
VF
VICTORY FINANCIAL
CAPITALWISE | VIRIDIAN WEALTH MANAGEMENT | VICTORY FINANCIAL GROUP LLC | VICTORY FINANCIAL GROUP AND INSURANCE SERVICES | VICTORY FINANCIAL | TRUSTLOVE CAPITAL LLC | STEADFAST WEALTH PLANNING | STANSELL WEALTH | L5 WEALTH PLANNING | KILMER FINANCIAL | CRÈME WEALTH
CRD#: 324943 / SEC#: 801-127385
RIA
Registered Investment Advisory firm - (2/24/2023 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
California(1/9/2025)
RR
Hawaii(5/7/2024)
IAR
Illinois(6/13/2024)
IAR
Texas(5/18/2023)
RR
Texas(5/26/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VF
VICTORY FINANCIAL
CAPITALWISE | VIRIDIAN WEALTH MANAGEMENT | VICTORY FINANCIAL GROUP LLC | VICTORY FINANCIAL GROUP AND INSURANCE SERVICES | VICTORY FINANCIAL | TRUSTLOVE CAPITAL LLC | STEADFAST WEALTH PLANNING | STANSELL WEALTH | L5 WEALTH PLANNING | KILMER FINANCIAL | CRÈME WEALTH
CRD#: 324943 / SEC#: 801-127385
RIA
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Contact information
Main Address
6500 River Place Blvd. Bldg. 1, Ste. 203, Austin, TX 78730
Mailing Address
Phone number
(512) 763-7671
Established
Firm type
Fiscal year end
# of Employees
39
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,210 |
| AUM (Assets Under Management) | $ 687,641,583 |
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.
