AW
Alexander J. Wallerich
KESTRA ADVISORY SERVICES
Plymouth, MN 55441
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CRD#: 6321205
AW
Professional summary
Alexander John Wallerich is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Plymouth, Minnesota and KESTRA INVESTMENT SERVICES, LLC located in Plymouth, Minnesota.
Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Alexander has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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: The KNW Group Investment Related: Yes Address: 605 Hwy 169 North, Suite 200 Plymouth MN 55441 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Wealth Manager & Financial Advisor Start Date: 2/20/2017 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Assist client with investment related decisions and provide investment related products and services Business Name: NFP Investment Related: Yes Address: 505 Waterford Park, Highway 169 N. Plymouth MN 55441 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: Senior Advisor - Wealth Management Start Date: 3/11/2019 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Assist client with investment related decisions and provide investment related products and services Business Name: KESTRA ADVISORY SERVICES POSITION: Advisor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 30 START DATE: 04/01/2022 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin MN 78735 DESCRIPTION: Financial Planning
CRS (Client Relationship Summary) - RIA
Click below to view Alexander John Wallerich'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
March 31, 2017 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 505 Waterford Park Highway 169 N, Suite 1100, Plymouth, MN 55441RIA
CRD#: 283330
Plymouth, MN
Current
March 8, 2017 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 505 Hwy 169 N, Suite 1100, Plymouth, MN 55441BD
CRD#: 42046
Plymouth, MN
Past
February 2, 2015 - February 24, 2017
NYLIFE SECURITIES LLC
BD
CRD#: 5167
Lake City, MN
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(5/26/2017)
RR
Arkansas(3/8/2017)
RR
California(1/24/2024)
RR
Colorado(5/13/2018)
RR
Florida(3/8/2017)
RR
Georgia(1/10/2024)
RR
Iowa(12/7/2017)
RR
Kansas(8/17/2017)
RR
Minnesota(3/8/2017)
IAR
Minnesota(3/31/2017)
RR
Ohio(8/17/2017)
RR
Pennsylvania(8/17/2017)
RR
Washington(11/15/2021)
RR
Wisconsin(3/8/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
