LR
Lauren M. Richardson
KESTRA ADVISORY SERVICES
CASTLE ROCK, CO 80108
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CRD#: 5949441
LR
Professional summary
Lauren Mckenzie Richardson, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Castle Rock, Colorado and KESTRA INVESTMENT SERVICES, LLC located in Castle Rock, Colorado.
Lauren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Lauren has worked at 3 firms and has passed the Series 63, Series 7TO, SIE 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.
Business Name: PROPLANCO MANAGEMENT LLC DOING BUSINESS AS MALETA POSITION: Advisor NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 80 START DATE: 08/20/2018 ADDRESS: 757 Maleta Lane, Suite 204, Castle Rock CO 80108 DESCRIPTION: Client management including answering calls and attending client meetings. Insurance. Business Name: Lauren M. Richardson Investment Related: Yes Address: 1995 S. Fox Street Denver CO 80223 Nature of Business: Real Estate Position, Title or Relationship: I am an owner of the property. I am leasing out the space. Start Date: 8/1/2021 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I will be involved with Tenants to make sure the property is maintained during the course of the lease as well as managing expenses (collecting rents, paying mortgage, etc.). Business Name: KESTRA ADVISORY SERVICES LLC POSITION: Advisor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 100 START DATE: 08/24/2022 ADDRESS: 5707 Southwest Parkway, Bldg 2, Ste 400, Austin TX 78735 DESCRIPTION: Client management.
CRS (Client Relationship Summary) - RIA
Click below to view Lauren Mckenzie Richardson'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: 2020
Experience
Current
November 24, 2020 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 757 Maleta Lane Suite 204, Castle Rock, CO 80108RIA
CRD#: 283330
CASTLE ROCK, CO
Current
August 27, 2018 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 757 Maleta Lane, Suite 204, Castle Rock, CO 80108BD
CRD#: 42046
Castle Rock, CO
Past
August 11, 2017 - June 8, 2018
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
DENVER, CO
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
Colorado(8/27/2018)
IAR
Colorado(11/24/2020)
RR
Montana(2/8/2021)
RR
Texas(7/31/2020)
IAR
Texas(1/6/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/15/2019
General Securities Representative ExaminationGeneral 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.
