CT
Chance M. Trafton
KESTRA ADVISORY SERVICES
Amarillo, TX 79105
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CRD#: 5781430
CT
Professional summary
Chance M Trafton is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Amarillo, Texas and KESTRA INVESTMENT SERVICES, LLC located in Amarillo, Texas.
Chance is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Chance has worked at 3 firms and has passed the Series 66, 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: THE ROSE GROUP Investment Related: Yes Address: 301 S. POLK STE. 400 S. AMARILLO TX 79105 Nature of Business: Insurance; Investment Advisory (RIA, IAR, Financial Planning, etc.) Position, Title or Relationship: Member Start Date: 3/1/2014 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: ProducerBusiness 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: 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: Stewards of the Wild Texas Parks and Wildlife Foundation Investment Related: No Address: 4200 Smith School Road Austin TX 78744 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Events Chair. Planning events that encourage members and non members to get outdoors. Start Date: 9/1/2018 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Planning events that encourage members and non members to get outdoors Business Name: ST. ANDREWS EPISCOPAL SCHOOL BOARD POSITION: Future Board member and Parent of Students NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/03/2024 ADDRESS: 1515 S Georgia St., Amarillo TX 79102, United States DESCRIPTION: I will meet as a board member on the over strategic vision of the school. We are there to support and facilitate any of the needs through the headmaster. I will be part of the finance committee for making sure the director of finances has multiple eyes on the inflows and outflows of the school.
CRS (Client Relationship Summary) - RIA
Click below to view Chance M Trafton'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
April 20, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 301 S. Polk, Ste. 400 S, Amarillo, TX 79105RIA
CRD#: 283330
Amarillo, TX
Current
February 26, 2014 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 301 S. Polk Ste. 400 S., Amarillo, TX 79105BD
CRD#: 42046
Amarillo, TX
Past
February 26, 2014 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
AUSTIN, TX
Past
November 15, 2010 - August 27, 2013
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
AMARILLO, TX
Past
September 15, 2010 - August 27, 2013
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
AMARILLO, 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
Maine(4/25/2025)
RR
Missouri(2/13/2018)
RR
New Mexico(2/1/2019)
RR
Oklahoma(2/4/2022)
RR
South Carolina(11/16/2021)
RR
Texas(2/26/2014)
IAR
Texas(4/20/2016)
Exams
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
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.
