TS
Tara M. Schutz
KESTRA ADVISORY SERVICES
Chicago, IL
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CRD#: 5726799
TS
Professional summary
Tara Marissa Schutz, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Chicago, Illinois and KESTRA INVESTMENT SERVICES, LLC located in Chicago, Illinois.
Tara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Tara has worked at 3 firms and has passed the Series 66, SIE, Series 31 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: Windsor Private Wealth, LLC Investment Related: Yes Address: 444 W. Lake Street, 17th Floor Chicago IL 60606 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Loan/Mortgage/Lending Related; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: financial advisor, financial planner, wealth manager Start Date: 12/1/2020 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: run financial plans, allocate assets, choose securities, and give financial advice, and invest assetsBusiness Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway, Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: IAR Start Date: 12/2/2020 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: IAR
CRS (Client Relationship Summary) - RIA
Click below to view Tara Marissa Schutz'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: 2013
Experience
Current
December 2, 2020 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 750 N State St. 7th Floor, Chicago, IL 60654RIA
CRD#: 283330
Chicago, IL
Current
December 2, 2020 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 750 N State St. 7th Floor, Chicago, IL 60654BD
CRD#: 42046
Chicago, IL
Past
January 12, 2010 - December 8, 2020
MORGAN STANLEY
RIA
CRD#: 149777
Chicago, IL
Past
December 14, 2009 - December 8, 2020
MORGAN STANLEY
BD
CRD#: 149777
Chicago, IL
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
California(12/2/2020)
RR
Connecticut(12/2/2020)
RR
Delaware(2/28/2024)
RR
District of Columbia(10/1/2024)
RR
Florida(12/2/2020)
RR
Georgia(12/2/2020)
RR
Illinois(12/2/2020)
IAR
Illinois(12/2/2020)
RR
Indiana(12/2/2020)
RR
Maine(12/2/2020)
RR
Maryland(1/4/2022)
RR
Massachusetts(12/2/2020)
RR
Michigan(12/2/2020)
RR
New Hampshire(12/2/2020)
RR
New Jersey(12/2/2020)
RR
New York(12/2/2020)
RR
North Carolina(12/12/2024)
RR
Ohio(12/2/2020)
RR
Oregon(12/3/2024)
RR
Pennsylvania(12/2/2020)
RR
Puerto Rico(3/1/2024)
RR
South Carolina(10/18/2024)
RR
Tennessee(7/22/2022)
RR
Texas(12/2/2020)
IAR
Texas(1/6/2021)
RR
Virginia(10/20/2023)
RR
Washington(12/2/2020)
RR
Wisconsin(12/2/2020)
RR
Wyoming(12/2/2020)
Exams
State Security Law Exam
General Industry/Product 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
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.
