NE
Nicholas R. Ellis
KESTRA ADVISORY SERVICES
Las Vegas, NV 89102
Some features on this profile are disabled
CRD#: 6170431
NE
Professional summary
Nicholas Randall Ellis is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Las Vegas, Nevada and KESTRA INVESTMENT SERVICES, LLC located in Las Vegas, Nevada.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Nicholas has worked at 3 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.
Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes, # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 07/01/2024 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: EAG PRIVATE WEALTH MANAGEMENT POSITION: Financial Advisor NATURE: Insurance INVESTMENT RELATED: Yes, # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 03/22/2016 ADDRESS: 2300 West Sahara Ave, Suite 800, Las Vegas NV 89102, United States DESCRIPTION: Providing investment advice, asset management, and servicing of client accounts. Name: BATTLE BORN WEALTH MANAGEMENT POSITION: Owner NATURE: Tax/Accounting/CPA INVESTMENT RELATED: No, # OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 07/01/2024 ADDRESS: 11145 Black Fire Opal Dr., Las Vegas NV 89138, United States DESCRIPTION: Tax planning and preparation. NAME: BATTLE BORN WEALTH MANAGEMENT POSITION: Owner NATURE: Tax/Accounting/CPA INVESTMENT RELATED: No # OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 07/01/2024 ADDRESS: 11145 Black Fire Opal Dr., Las Vegas NV 89138, United States DESCRIPTION: Tax planning and preparation. Quoting and writing term life insurance.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Randall Ellis'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
February 12, 2025 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 2300 West Sahara Avenue Suite 800, Las Vegas, NV 89102RIA
CRD#: 283330
Las Vegas, NV
Current
February 12, 2025 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2300 W Sahara Ave Suite 800, Las Vegas, NV 89102BD
CRD#: 42046
Las Vegas, NV
Past
August 5, 2015 - February 11, 2025
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
TUSTIN, CA
Past
June 1, 2015 - February 11, 2025
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
TUSTIN, CA
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
Arizona(2/12/2025)
RR
Arkansas(2/12/2025)
RR
California(2/12/2025)
RR
Colorado(2/12/2025)
RR
Florida(2/12/2025)
RR
Idaho(2/12/2025)
RR
Indiana(2/12/2025)
RR
Kentucky(2/12/2025)
RR
Michigan(2/12/2025)
RR
Nevada(2/12/2025)
IAR
Nevada(2/12/2025)
RR
New Jersey(2/12/2025)
RR
North Carolina(2/14/2025)
RR
Ohio(2/12/2025)
RR
Pennsylvania(2/12/2025)
RR
Tennessee(2/12/2025)
RR
Texas(2/12/2025)
IAR
Texas(2/12/2025)
RR
Utah(2/12/2025)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
