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Brendan M. Loflin
KESTRA ADVISORY SERVICES
Orlando, FL 32803
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CRD#: 6239858
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Professional summary
Brendan M Loflin is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Orlando, Florida and KESTRA INVESTMENT SERVICES, LLC located in Orlando, Florida.
Brendan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Brendan 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, LLC POSITION: Financial Advisor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: No # OF HOURS: 35 SECURITIES TRADING HOURS: 35 START DATE: 04/16/2024 ADDRESS: 5707 Southwest Parkway, Austin TX 78735, United States DESCRIPTION: Financial Planning Wealth Management Retirement Plan consulting Name: EVOLVE ADVISOR GROUP POSITION: Financial Advisor NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes # OF HOURS: 120 SECURITIES TRADING HOURS: 40 START DATE: 04/15/2024 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: Financial Advisor, wealth management, financial planning and retirement plan consulting Name: LIFE INSURANCE SALES POSITION: Financial Advisor NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 05/13/2024 ADDRESS: 2208 Hillcrest Street, Orlando FL 32803 DESCRIPTION: life insurance sales
CRS (Client Relationship Summary) - RIA
Click below to view Brendan M Loflin'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 16, 2024 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 2208 Hillcrest St, Orlando, FL 32803RIA
CRD#: 283330
Orlando, FL
Current
April 16, 2024 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2208 Hillcrest St, Orlando, FL 32803BD
CRD#: 42046
Orlando, FL
Past
March 17, 2014 - April 23, 2024
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
ORLANDO, FL
Past
October 3, 2013 - April 23, 2024
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
ORLANDO, 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(4/29/2024)
RR
Colorado(4/16/2024)
RR
Florida(4/16/2024)
IAR
Florida(4/23/2024)
RR
Georgia(4/16/2024)
RR
Mississippi(4/16/2024)
RR
North Carolina(4/24/2024)
RR
Vermont(4/16/2024)
RR
Wisconsin(4/16/2024)
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.
