Joshua D. Orton

LGT FINANCIAL ADVISORS LLC

Dallas, TX 75204

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CRD#: 5971369

Professional summary

Joshua David Orton, CFP® is a registered financial advisor currently at LGT FINANCIAL ADVISORS LLC located in Dallas, Texas.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Joshua has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 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.

1. I am a licensed life and health insurance agent through AdvisorsExcel via KPC Financial Solutions.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua David Orton'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®

CFP^®

Certified Financial Planner

Start date: 2023

Experience

Current

July 25, 2023 - Present

LGT FINANCIAL ADVISORS LLC

Office #1: 2626 Howell St Suite 700, Dallas, TX 75204

RIA

CRD#: 111575

Dallas, TX

Past

April 11, 2023 - July 6, 2023

KPC FINANCIAL SOLUTIONS, LLC

RIA

CRD#: 317107

LEWISVILLE, TX

Past

March 22, 2022 - April 10, 2023

GRADIENT ADVISORS, LLC

RIA

CRD#: 152665

Keller, TX

Past

April 30, 2021 - August 16, 2021

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

IRVING, TX

Past

February 4, 2021 - August 16, 2021

PARK AVENUE SECURITIES LLC

CRD#: 46173

IRVING, TX

Past

March 15, 2018 - December 31, 2020

TD AMERITRADE CLEARING, INC.

CRD#: 5633

Southlake, TX

Past

September 24, 2011 - January 28, 2021

TD AMERITRADE, INC.

CRD#: 7870

Southlake, 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".

LGT FINANCIAL ADVISORS LLC

LGT FINANCIAL ADVISORS LLC | LGT FINANCIAL ADVISORS, LLC

CRD#: 111575 / SEC#: 801-77833

RIA

Registered Investment Advisory firm - (4/4/2013 Approved)

Illinois

Registered Investment Advisory firm - (4/4/2013 Terminated)

Texas

Registered Investment Advisory firm - (4/4/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Texas
(7/25/2023)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/26/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/3/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/26/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/23/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/26/2024

General Securities Principal Examination

Current Firm

LGT FINANCIAL ADVISORS LLC

LGT FINANCIAL ADVISORS LLC | LGT FINANCIAL ADVISORS, LLC

CRD#: 111575 / SEC#: 801-77833

RIA

Registered Investment Advisory firm - (4/4/2013 Approved)

Illinois

Registered Investment Advisory firm - (4/4/2013 Terminated)

Texas

Registered Investment Advisory firm - (4/4/2013 Terminated)

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Contact information

Main Address

2626 Howell St Suite 700, Dallas, TX 75204

Mailing Address

Phone number

(214) 871-7500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LGT FA PART 2A BROCHURE (7/18/2025)

Regulatory assets under management

Total Number of Accounts	404
AUM (Assets Under Management)	$ 359,307,704

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/24/2024	Cover Page	Report
02/01/2023	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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Joshua D. Orton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua David Orton's CRS (Customer Relationship Summary).

Certified licenses

Experience

KPC FINANCIAL SOLUTIONS, LLC

GRADIENT ADVISORS, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

TD AMERITRADE CLEARING, INC.

TD AMERITRADE, INC.

Primary Firm SEC Registration

LGT FINANCIAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/26/2021

Series 63

Date: 10/3/2011

Series 7TO

Date: 2/26/2024

SIE

Date: 10/1/2018

Series 7

Date: 9/23/2011

Series 24

Date: 2/26/2024

Current Firm

LGT FINANCIAL ADVISORS LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LGT FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

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