BS
Brian D. Schmidt
KESTRA ADVISORY SERVICES
ENDWELL, NY 13760
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CRD#: 5576314
BS
Professional summary
Brian David Schmidt, AIF®, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Endwell, New York and KESTRA INVESTMENT SERVICES, LLC located in Endwell, New York.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Brian has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 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.
Business Name: NFP Corporate Services (NY), LLC Inv Rel: Yes Address: 1405 Davis Avenue Endwell NY 13760 NOB: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through Kestra Advisory Services, LLC POS: Employee Start Date: 4/1/2013 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Wealth Management, Insurance, Benefits Business Name: NFP Inv Rel: Yes Address: 1405 Davis Avenue Endwell NY 13760 NOB: Consulting POS: Financial Planner and W2 employee of NFP Corporate Services (NY) LLC. Start Date: 1/1/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Financial Planner Business Name: Kestra Advisory Services, LLC Inv Rel: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 NOB: Investment Advisory services through Kestra Advisory Services, LLC POS: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: OUR LADY OF SORROWS POS: Trustee NOB: Board position (Board of Directors, Board of Trustees, etc.) INV REL: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 4 START DATE: 06/01/2023 ADDRESS: 801 Main Street, Vestal NY 13850 DESC: As above. Business Name: FORTIFY RIGHTS POS: Treasurer, Board of Governance NOB: Board position (Board of Directors, Board of Trustees, etc.) INV REL: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2023 ADDRESS: PO Box 110, Belfast ME 04915 DESC: Limited to governance and oversight. Support paid staff in quarterly finance reviews and serve as Treasurer to the organization. Business Name: CATHOLIC SCHOOLS OF BROOME COUNTY POSITION: Chair of the Board of Directors NATURE: Capital Campaign Committee Member INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/01/2024 ADDRESS: 70 Seminary Avenue, Binghamton NY 13905, United States DESCRIPTION: Chair of the Board of Directors and direct liaison to the Diocese of Syracuse and the Corporate Board. Business Name: CATHOLIC SCHOOLS OF BROOME COUNTY FOUNDATION POSITION: Chair NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/01/2025 ADDRESS: 70 Seminary Avenue, Binghamton NY 13901, United States DESCRIPTION: Facilitate meetings, approve distributions and manage the capital campaign.
CRS (Client Relationship Summary) - RIA
Click below to view Brian David Schmidt'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®
CFP®
Start date: 2011
Experience
Current
April 26, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 1405 Davis Ave, Endwell, NY 13760RIA
CRD#: 283330
ENDWELL, NY
Current
February 3, 2010 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1405 Davis Ave, Endwell, NY 13760BD
CRD#: 42046
Endwell, NY
Past
March 30, 2015 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
NORWICH, NY
Past
September 4, 2008 - February 1, 2010
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
BINGHAMTON, 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
Alabama(10/30/2018)
RR
Arizona(9/28/2022)
RR
California(11/30/2016)
RR
Florida(1/27/2011)
RR
Illinois(2/15/2022)
RR
Maine(10/20/2014)
RR
Maryland(1/21/2015)
RR
Massachusetts(10/20/2014)
RR
Minnesota(11/6/2020)
RR
Missouri(11/25/2019)
RR
New Jersey(6/24/2010)
RR
New Mexico(3/25/2020)
RR
New York(2/3/2010)
IAR
New York(6/7/2021)
RR
North Carolina(3/2/2010)
RR
Pennsylvania(5/3/2010)
RR
South Carolina(6/1/2015)
RR
Tennessee(1/10/2024)
RR
Texas(10/20/2014)
IAR
Texas(7/26/2023)
RR
Virginia(2/3/2010)
Exams
State Security Law Exam
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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Endwell, NY 13760TRUST BUT VERIFY
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