CZ
Changsheng Zhao
KESTRA ADVISORY SERVICES
Boca Raton, FL 33431
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CRD#: 6021793
CZ
Professional summary
Changsheng Zhao, who also goes by Sean Zhao, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Boca Raton, Florida and KESTRA INVESTMENT SERVICES, LLC located in Boca Raton, Florida.
Changsheng is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Changsheng has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean Zhao
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: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/26/2024 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Business Name: WEALTH EMPOWERMENT FINANCIAL POSITION: RR NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/26/2024 ADDRESS: 2424 N. Federal Hwy, STE 400, Boca Raton FL 33431, United States DESCRIPTION: RR Business Name: ALPHA PARTNERS WEALTH MANAGEMENT POSITION: RR NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/26/2024 ADDRESS: 2424 N. Federal Hwy, STE 400A, Boca Raton FL 33431, United States DESCRIPTION: RR
CRS (Client Relationship Summary) - RIA
Click below to view Changsheng Zhao'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
October 1, 2024 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 2424 N Federal Hwy Suite 400, Boca Raton, FL 33431RIA
CRD#: 283330
Boca Raton, FL
Current
October 1, 2024 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2424 North Federal Highway Suite 400, Boca Raton, FL 33431BD
CRD#: 42046
Boca Raton, FL
Past
July 22, 2022 - October 30, 2024
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
BOCA RATON, FL
Past
May 10, 2017 - October 30, 2024
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
BOCA RATON, FL
Past
February 27, 2017 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
October 26, 2015 - February 23, 2017
MODERN CAPITAL ADVISORS, LLC
RIA
CRD#: 131117
WEST PALM BEACH, FL
Past
January 14, 2014 - February 9, 2017
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
BD
CRD#: 130390
West Palm Beach, FL
Past
December 11, 2012 - January 14, 2014
NSM SECURITIES, INC.
BD
CRD#: 134357
WEST PALM BEACH, FL
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(10/1/2024)
RR
Connecticut(10/1/2024)
RR
Florida(10/1/2024)
IAR
Florida(10/3/2024)
RR
Hawaii(10/1/2024)
RR
Illinois(10/1/2024)
RR
Massachusetts(10/1/2024)
RR
Michigan(10/1/2024)
RR
New Jersey(10/1/2024)
RR
New York(10/1/2024)
RR
North Carolina(10/31/2024)
RR
Ohio(10/1/2024)
RR
Pennsylvania(10/1/2024)
RR
Tennessee(10/1/2024)
RR
Texas(10/1/2024)
IAR
Texas(10/1/2024)
RR
Virginia(10/1/2024)
RR
Washington(10/1/2024)
RR
Wisconsin(10/1/2024)
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.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Boca Raton, FL 33431TRUST BUT VERIFY
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