Kimberly N. Sartor

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CRD#: 6185633

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kimberly Nichole Sartor, who also goes by Kimberly Nichole Hammes, Kimberly Nichole Ruszler, was a registered financial professional .

Kimberly is a previously registered financial professional and started their career in finance in 2019. Kimberly had worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kimberly Nichole Hammes | Kimberly Nichole Ruszler

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) CARTER ADVISORY SERVICES, 12222 MERIT DRIVE, #1800, DALLAS, TEXAS; BRANCH ASSOCIATE SINCE 02/2014; DBA/SUPPORT FIRM; NON-INVESTMENT RELATED; 160 HRS/MO AND 130 HRS/MO DURING TRADING. 2) Name of Business : Carter FInancial Management Address: 12222 Merit Dr Ste 1800,Dallas, TX Nature of the Business: Support Company/DBA (Non-Owner) Position/Title: Investment Adviser Investment Related:No Start Date: 08/07/2020 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: Open and manage client accounts, speaking with clients on the phone to gather updated account information, i.e. address, phone numbers. Process money movement requests and trades per FA instructions. 3) Wayne Christian Financial Services POSITION: Financial Assistant, Other; INVESTMENT RELATED: Yes; Number of hours: 173; Number of trading hours: 138 START DATE: 9/15/2021 ADDRESS: 204 Houston Street, Center TX 75935 DESCRIPTION: Registered Assistant, contacting clients for service, paperwork, execute trading, phone calls 4) WAYNE CHRISTIAN FINANCIAL SERVICES POSITION: RR NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 04/27/2023 ADDRESS: 204 Houston St, Center TX 75935 DESCRIPTION: RR 5) KESTRA ADVISORY SERVICES LLC POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 04/27/2023 ADDRESS: 5707 Southwest Parkway, Building 2, Ste. 400, Austin TN 78735 DESCRIPTION: IAR 6) CHRISTIAN AND DAUGHTERS LLC POSITION: Business Payroll NATURE: Business Payroll INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 220 S 4th St, Waco TX 76701 DESCRIPTION: Business Payroll

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 8, 2023 - September 5, 2025

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Center, TX

Past

May 8, 2023 - September 5, 2025

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Center, TX

Past

September 15, 2021 - May 10, 2023

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

CENTER, TX

Past

September 15, 2021 - May 10, 2023

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

CENTER, TX

Past

August 10, 2020 - September 20, 2021

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Dallas, TX

Past

September 16, 2019 - September 20, 2021

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

DALLAS, 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".

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.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 8/7/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/16/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/2/2019

Securities Industry Essentials Examination

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

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	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	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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Firm Stability Insights

Kimberly N. Sartor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/7/2020

Series 7TO

Date: 9/16/2019

SIE

Date: 3/2/2019

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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