RR
Robert A. Roseman
KESTRA ADVISORY SERVICES
TYLER, TX 75701
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CRD#: 6124423
RR
Professional summary
Robert A Roseman is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Tyler, Texas.
Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Robert has worked at 2 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: Hospice of East Texas Investment Related: No Address: 4111 TX-248 Spur Tyler TX 75701 Nature of Business: Community/Charitable/Civic Position, Title or Relationship: board treasurer Start Date: 1/1/2010 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: treasurer Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 1250 Capital of Texas Highway, Building 2 Suite 125 Austin TX 78746 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: PROTHRO WILHELMI & CO. PLLC Investment Related: No Address: 6855 OAK HILL BLVD TYLER TX 75703 Nature of Business: Consulting; Tax/Accounting Position, Title or Relationship: Owner/Partner Start Date: 6/1/2002 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: general firm leadership, management, accounting services to clients Business Name: PWRR, LLC d/b/a Roseman Wealth Advisors Investment Related: Yes Address: 3304 S. Broadway, Ste. 202 Tyler TX 75701 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: I refer clients to RWA. Start Date: 1/19/2013 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I merely refer clients for compensation, but have no other duties. Business Name: TB Butler Publishing Co. Investment Related: No Address: 410 W Erwin St. Tyler TX 75702 Nature of Business: Other Other/None of the Above board or directors Position, Title or Relationship: director (on the board) Start Date: 11/1/2010 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: general guidance for the business Business Name: TWB Real Estate, LLC Investment Related: No Address: 6855 Oak Hill Blvd. Tyler TX 75703 Nature of Business: Real Estate Position, Title or Relationship: LLC member Start Date: 11/1/2008 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: general recordkeeping, etc.
CRS (Client Relationship Summary) - RIA
Click below to view Robert A Roseman'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 19, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 3304 S Broadway Suite 202, Tyler, TX 75701RIA
CRD#: 283330
TYLER, TX
Past
January 18, 2013 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
TYLER, TX
Past
December 11, 2012 - March 24, 2017
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
TYLER, 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.Highlighted states indicate IAR registrations
IAR
Texas(4/19/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
