Scott A. Cavazos

KESTRA ADVISORY SERVICES

Austin, TX 78735

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CRD#: 6643191

Professional summary

Scott Alex Cavazos is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Austin, Texas and KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Scott has worked at 11 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 99 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Alex Cavazos's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 2, 2025 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

RIA

CRD#: 283330

Austin, TX

Current

June 2, 2025 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

CRD#: 42046

Austin, TX

Past

August 23, 2024 - June 5, 2025

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

DALLAS, TX

Past

August 23, 2024 - June 5, 2025

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

DALLAS, TX

Past

August 23, 2024 - June 5, 2025

CETERA ADVISORS LLC

CRD#: 10299

DALLAS, TX

Past

August 23, 2024 - June 5, 2025

CETERA WEALTH SERVICES, LLC

CRD#: 13572

DALLAS, TX

Past

August 9, 2021 - June 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

DALLAS, TX

Past

August 2, 2021 - June 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Austin, TX

Past

November 6, 2020 - January 21, 2021

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

LA VISTA, NE

Past

November 6, 2020 - January 21, 2021

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

April 4, 2017 - November 6, 2020

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

SEATTLE, WA

Past

August 1, 2016 - November 6, 2020

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

SEATTLE, WA

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Texas
(6/2/2025)

IAR

Texas
(6/2/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/4/2017

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 3/8/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/18/2017

General Securities Representative Examination

General Industry/Product Exam

Series 99

Date: 8/1/2016

Operations Professional Examination

Principal/Supervisory Exam

Series 24

Date: 7/26/2017

General Securities Principal Examination

SRO Registrations

FINRA

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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Advisor Monitoring

Firm Stability Insights

Scott A. Cavazos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Alex Cavazos's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

CETERA INVESTMENT SERVICES LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/4/2017

Series 52TO

Date: 3/8/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/18/2017

Series 99

Date: 8/1/2016

Series 24

Date: 7/26/2017

FINRA

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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