CR
Carey B. Rolls
KESTRA ADVISORY SERVICES
Forth Worth, TX 76107
Some features on this profile are disabled
CRD#: 5528735
CR
Professional summary
Carey Blake Rolls is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Forth Worth, Texas and KESTRA INVESTMENT SERVICES, LLC located in Fort Worth, Texas.
Carey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Carey has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
OUTSIDE INSURANCE, SELLS LIFE, HEALTH, LTC, ANNUITIES, DI, 12/13/11. Business Name: SYMONDS WEALTH MANAGEMENT POSITION: RR NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 02/13/2023 ADDRESS: 2512 Horne Street, Suite 100, Fort Worth TX 76107 DESCRIPTION: RR Business Name: KESTRA ADVISORY SERVICES, LLC POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 02/13/2023 ADDRESS: 5707 Southwest Parkway, Building # 2, Suite 400, Austin TX 78735 DESCRIPTION: IAR Business Name: BLAST, LTD POSITION: Boat Provider NATURE: Charter Boat INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 06/05/2024 ADDRESS: Nassau, Bahamas TX 00000, United States DESCRIPTION: I am purchasing a boat that a friend of mine in the Bahamas will use in his charter business. I will not be involved in any way in the business, other than providing boats. I will then make a percentage off the net profits of the boat.
CRS (Client Relationship Summary) - RIA
Click below to view Carey Blake Rolls'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
February 13, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 2512 Horne Street Ste 100, Forth Worth, TX 76107RIA
CRD#: 283330
Forth Worth, TX
Current
February 13, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2512 Horne St Suite 200, Fort Worth, TX 76107BD
CRD#: 42046
Fort Worth, TX
Past
September 25, 2019 - February 15, 2023
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
FORT WORTH, TX
Past
December 5, 2011 - February 15, 2023
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
FORT WORTH, TX
Past
January 14, 2010 - December 7, 2011
PFS INVESTMENTS INC.
BD
CRD#: 10111
EULESS, 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".
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
Alabama(2/13/2023)
RR
Arizona(2/13/2023)
RR
Arkansas(2/13/2023)
RR
California(2/13/2023)
RR
Colorado(2/14/2023)
RR
Connecticut(2/13/2023)
RR
Florida(2/13/2023)
RR
Georgia(2/13/2023)
RR
Idaho(1/25/2024)
RR
Illinois(2/22/2023)
RR
Iowa(2/13/2023)
RR
Kansas(2/13/2023)
RR
Kentucky(7/12/2023)
RR
Louisiana(2/13/2023)
RR
Maine(2/13/2023)
RR
Nebraska(2/13/2023)
RR
New Hampshire(2/13/2023)
RR
New Mexico(2/13/2023)
RR
North Carolina(2/17/2023)
RR
Ohio(2/13/2023)
RR
Oklahoma(2/13/2023)
RR
Oregon(2/13/2023)
RR
Texas(2/13/2023)
IAR
Texas(2/13/2023)
RR
Utah(2/13/2023)
RR
Washington(2/13/2023)
RR
Wyoming(2/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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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)
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.
