CP
Caleb E. Pryor
KESTRA ADVISORY SERVICES
Austin, TX 78735
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CRD#: 6518051
CP
Professional summary
Caleb Evan Pryor, who also goes by Caleb Evan Pryor, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Austin, Texas and KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.
Caleb is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Caleb has worked at 7 firms and has passed the Series 66, Series 7TO, SIE, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Caleb Evan Pryor
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Caleb Evan Pryor'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
June 6, 2022 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735RIA
CRD#: 283330
Austin, TX
Current
June 3, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735BD
CRD#: 42046
Austin, TX
Past
April 20, 2022 - May 25, 2022
MARINER WEALTH
RIA
CRD#: 140195
OVERLAND PARK, KS
Past
April 20, 2022 - May 25, 2022
MSEC, LLC
BD
CRD#: 154327
OVERLAND PARK, KS
Past
November 23, 2021 - April 11, 2022
AE WEALTH MANAGEMENT, LLC
RIA
CRD#: 282580
TOPEKA, KS
Past
November 23, 2021 - April 11, 2022
AE FINANCIAL SERVICES, LLC
BD
CRD#: 298608
TOPEKA, KS
Past
May 28, 2019 - August 23, 2021
WADDELL & REED
RIA
CRD#: 866
OVERLAND PARK, KS
Past
October 15, 2015 - August 23, 2021
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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
Alabama(6/3/2022)
RR
Alaska(6/3/2022)
RR
Arizona(6/3/2022)
RR
Arkansas(6/3/2022)
RR
California(6/3/2022)
RR
Colorado(6/3/2022)
RR
Connecticut(6/3/2022)
RR
Delaware(6/3/2022)
RR
District of Columbia(6/3/2022)
RR
Florida(6/3/2022)
RR
Georgia(6/3/2022)
RR
Hawaii(6/3/2022)
RR
Idaho(6/3/2022)
RR
Illinois(6/3/2022)
RR
Indiana(6/3/2022)
RR
Iowa(6/3/2022)
RR
Kansas(6/3/2022)
RR
Kentucky(6/3/2022)
RR
Louisiana(6/3/2022)
RR
Maine(6/3/2022)
RR
Maryland(6/3/2022)
RR
Massachusetts(6/3/2022)
RR
Michigan(6/3/2022)
RR
Minnesota(6/3/2022)
RR
Mississippi(6/3/2022)
RR
Missouri(6/3/2022)
IAR
Missouri(6/8/2022)
RR
Montana(6/3/2022)
RR
Nebraska(6/3/2022)
RR
Nevada(6/3/2022)
RR
New Hampshire(6/3/2022)
RR
New Jersey(6/3/2022)
RR
New Mexico(6/3/2022)
RR
New York(6/3/2022)
RR
North Carolina(6/3/2022)
RR
North Dakota(6/3/2022)
RR
Ohio(6/3/2022)
RR
Oklahoma(6/3/2022)
RR
Oregon(6/3/2022)
RR
Pennsylvania(6/3/2022)
RR
Puerto Rico(6/3/2022)
RR
Rhode Island(6/3/2022)
RR
South Carolina(6/3/2022)
RR
South Dakota(6/3/2022)
RR
Tennessee(6/3/2022)
RR
Texas(6/3/2022)
IAR
Texas(6/6/2022)
RR
Utah(6/3/2022)
RR
Vermont(6/3/2022)
RR
Virgin Islands(6/3/2022)
RR
Virginia(6/3/2022)
RR
Washington(6/3/2022)
RR
West Virginia(6/3/2022)
RR
Wisconsin(6/3/2022)
RR
Wyoming(6/3/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/28/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
