LB
Lindsay Buxton
KESTRA ADVISORY SERVICES
Austin, TX 78735
Some features on this profile are disabled
CRD#: 6794252
LB
Professional summary
Lindsay Buxton, who also goes by Lindsay Kae Althaus, Lindsay Althaus, Lindsay Kae Curington, Lindsay Curington, Lindsay Kae Jahner, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Austin, Texas and KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.
Lindsay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Lindsay has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lindsay Kae Althaus | Lindsay Althaus | Lindsay Kae Curington | Lindsay Curington | Lindsay Kae Jahner
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.
1. R + F
Skincare products offered to friends online
Start: 07/03/2018
Address: 1671 Kirby Ln Kyle TX 78640
20 non bus hrs per month
Not investment related
2. Planted
Helping local restaurants host an all vegan food night in their eatery. I would contact local businesses, see if they are interested, get them in contact with the Executive Director, and attend the evenings I help schedule.
Start: 08/20/2018
Address: n/a
5 non bus hrs per month
Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Lindsay Buxton'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
September 17, 2020 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735RIA
CRD#: 283330
Austin, TX
Current
September 17, 2020 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Ste 400, Austin, TX 78735BD
CRD#: 42046
Austin, TX
Past
May 24, 2018 - March 23, 2020
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
AUSTIN, TX
Past
October 5, 2017 - March 23, 2020
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
AUSTIN, 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
Alabama(11/9/2022)
RR
Alaska(11/9/2022)
RR
Arizona(11/9/2022)
RR
Arkansas(11/9/2022)
RR
California(11/9/2022)
RR
Colorado(11/9/2022)
RR
Connecticut(11/9/2022)
RR
Delaware(11/9/2022)
RR
District of Columbia(11/9/2022)
RR
Florida(11/9/2022)
RR
Georgia(11/9/2022)
RR
Hawaii(11/9/2022)
RR
Idaho(11/9/2022)
RR
Illinois(11/9/2022)
RR
Indiana(11/9/2022)
RR
Iowa(11/9/2022)
RR
Kansas(11/9/2022)
RR
Kentucky(11/9/2022)
RR
Louisiana(11/9/2022)
RR
Maine(11/9/2022)
RR
Maryland(11/9/2022)
RR
Massachusetts(11/9/2022)
RR
Michigan(11/9/2022)
RR
Minnesota(11/9/2022)
RR
Mississippi(11/9/2022)
RR
Missouri(11/9/2022)
RR
Montana(11/9/2022)
RR
Nebraska(11/9/2022)
RR
Nevada(11/9/2022)
RR
New Hampshire(11/9/2022)
RR
New Jersey(11/9/2022)
RR
New Mexico(11/9/2022)
RR
New York(11/9/2022)
RR
North Carolina(11/9/2022)
RR
North Dakota(11/9/2022)
RR
Ohio(11/9/2022)
RR
Oklahoma(11/9/2022)
RR
Oregon(11/9/2022)
RR
Pennsylvania(11/9/2022)
RR
Puerto Rico(11/9/2022)
RR
Rhode Island(11/9/2022)
RR
South Carolina(11/9/2022)
RR
South Dakota(11/9/2022)
RR
Tennessee(11/9/2022)
RR
Texas(9/17/2020)
IAR
Texas(9/17/2020)
RR
Utah(11/9/2022)
RR
Vermont(11/9/2022)
RR
Virgin Islands(11/9/2022)
RR
Virginia(11/9/2022)
RR
Washington(11/9/2022)
RR
West Virginia(11/9/2022)
RR
Wisconsin(11/9/2022)
RR
Wyoming(11/9/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
