SR
Svante Rocabado
KESTRA ADVISORY SERVICES
Austin, TX 78735
Some features on this profile are disabled
CRD#: 6353617
SR
Professional summary
Svante Rocabado, who also goes by Svante Demian Rocabado, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Austin, Texas and KESTRA INVESTMENT MANAGEMENT, LLC. located in Austin, Texas.
Svante is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Svante has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Svante Demian Rocabado
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: Royal Fig Catering Investment Related: No Address: 2100 W William Cannon Dr G-H-I Austin TX 78745 Nature of Business: Other Other/None of the Above Restaurant/Catering Position, Title or Relationship: Caterer/Server Start Date: 9/23/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Provide food and drink to event guests Business Name: Tiki Tatsu-Ya Investment Related: No Address: 1300 S Lamar Blvd Austin TX 78704 Nature of Business: Other Other/None of the Above Running food, taking orders, cleaning tables, etc. Position, Title or Relationship: Food Runner Start Date: 9/22/2021 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Taking food/drinks from the kitchen/bar and bringing it to tables Business Name: FOOD CONTRACTOR POSITION: Server NATURE: Food & Beverage INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 04/29/2024 ADDRESS: 3014 W William Cannon Dr, 1831, Austin TX 78745, United States DESCRIPTION: Cooking food on grill, preparing food, serving food. Conducting food transactions as a cashier. Serving beverages and drinks. Business Name: FOOD CONTRACTOR POSITION: Server NATURE: Food & Beverage INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 04/29/2024 ADDRESS: 3014 W William Cannon Dr, Austin TX 78745, United States DESCRIPTION: Cooking food , preparing food, serving food. Conducting food transactions as a cashier. Serving beverages and drinks.
CRS (Client Relationship Summary) - RIA
Click below to view Svante Rocabado'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 11, 2017 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735RIA
CRD#: 283330
Austin, TX
Current
October 8, 2024 - Present
KESTRA INVESTMENT MANAGEMENT, LLC.
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735RIA
CRD#: 317711
Austin, TX
Current
October 11, 2017 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735BD
CRD#: 42046
Austin, TX
Past
April 25, 2017 - August 24, 2017
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
August 5, 2014 - December 3, 2014
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
WESTLAKE, 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
Texas(10/11/2017)
IAR
Texas(10/11/2017)
Exams
State Security Law Exam
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.
