SP
Shane E. Pruitt
KESTRA ADVISORY SERVICES
Sherman, TX 75090
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CRD#: 6142894
SP
Professional summary
Shane Ellis Pruitt, who also goes by Shane Pruitt, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Sherman, Texas and KESTRA INVESTMENT SERVICES, LLC located in Sherman, Texas.
Shane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Shane has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shane Pruitt
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.
MARSHALL LAKE METROPOLITAN DISTRICT THORNTON, CO START DATE: 7/15/2013 BOARD MEMBER HOURS PER MONTH: 0 HOURS DURING TRADING: 0 TO PROVIDE LEADERSHIP FOR THE MARSHALL LAKE METROPOLITAN DISTRICT BASED UPON ON BUSINESS BACKGROUND. PRUITT WEALTH CONSULTANTS POSITION: Owner - sale of Securities NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 10/28/2021 ADDRESS: 2009 Independence Dr, Sherman TX 75090, United States DESCRIPTION: Sales of Securities KESTRA ADVISORY SERVICES LLC POSITION: Registered Rep NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 10/28/2021 ADDRESS: 5707 Southwest Parkway Bldg 2 Suite 400, Austin TX 78735, United States DESCRIPTION: IAR
CRS (Client Relationship Summary) - RIA
Click below to view Shane Ellis Pruitt'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 28, 2021 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: One Grand Centre 1800 Teague Dr., Suite 509, Sherman, TX 75090RIA
CRD#: 283330
Sherman, TX
Current
October 28, 2021 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: One Grand Centre 1800 Teague Dr., Suite 509, Sherman, TX 75090BD
CRD#: 42046
Sherman, TX
Past
May 22, 2015 - October 12, 2021
EDWARD JONES
RIA
CRD#: 250
Sherman, TX
Past
May 6, 2013 - May 21, 2015
EDWARD JONES
RIA
CRD#: 250
Sherman, TX
Past
February 18, 2013 - October 12, 2021
EDWARD JONES
BD
CRD#: 250
Sherman, 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
California(10/28/2021)
RR
Colorado(10/28/2021)
RR
Florida(10/28/2021)
RR
Illinois(10/28/2021)
RR
Louisiana(10/28/2021)
RR
Michigan(10/28/2021)
RR
Montana(3/15/2024)
RR
Oklahoma(10/28/2021)
RR
Pennsylvania(10/16/2025)
RR
Texas(10/28/2021)
IAR
Texas(10/28/2021)
RR
Virginia(10/16/2025)
RR
Wyoming(10/28/2021)
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#: 283330Sherman, TX 75090TRUST BUT VERIFY
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