Malcolm B. Pfenninger

KESTRA ADVISORY SERVICES

Bellaire, TX 77401

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CRD#: 5776966

Professional summary

Malcolm Blake Pfenninger is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Bellaire, Texas and KESTRA INVESTMENT SERVICES, LLC located in Bellaire, Texas.

Malcolm is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Malcolm has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Malcolm Blake Pfenninger'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®

None

Experience

Current

October 30, 2023 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 6750 W. Loop South Suite 825, Bellaire, TX 77401

RIA

CRD#: 283330

Bellaire, TX

Current

October 30, 2023 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 6750 W Loop S Suite 825, Bellaire, TX 77401

CRD#: 42046

Bellaire, TX

Past

September 1, 2023 - November 1, 2023

OSAIC WEALTH, INC.

RIA

CRD#: 23131

BELLAIRE, TX

Past

September 1, 2023 - November 1, 2023

OSAIC WEALTH, INC.

CRD#: 23131

BELLAIRE, TX

Past

June 24, 2020 - September 1, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

BELLAIRE, TX

Past

January 7, 2020 - December 31, 2020

THE AMERIFLEX GROUP

RIA

CRD#: 305585

Bellaire, TX

Past

January 3, 2020 - January 7, 2020

OSAIC SERVICES, INC.

RIA

CRD#: 133763

BELLAIRE, TX

Past

January 3, 2020 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

BELLAIRE, TX

Past

July 3, 2014 - January 7, 2020

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

HOUSTON, TX

Past

November 5, 2010 - January 7, 2020

NYLIFE SECURITIES LLC

CRD#: 5167

HOUSTON, 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".

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.

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

California
(10/30/2023)

Colorado
(10/30/2023)

Georgia
(4/1/2025)

Oklahoma
(10/30/2023)

Texas
(10/30/2023)

IAR

Texas
(10/30/2023)

Virginia
(10/30/2023)

Wisconsin
(10/30/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/2/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/24/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/13/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/4/2010

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (11/24/2025)

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
12/01/2025	Cover Page	Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Malcolm B. Pfenninger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Malcolm Blake Pfenninger's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

THE AMERIFLEX GROUP

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/2/2014

Series 63

Date: 11/24/2010

SIE

Date: 10/1/2018

Series 7

Date: 3/13/2014

Series 6

Date: 11/4/2010

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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