CB
Concetta J. Botie
KESTRA ADVISORY SERVICES
Long Beach, NY
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CRD#: 6824979
CB
Professional summary
Concetta Jean Botie, who also goes by Concetta Jean Gioeli, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Long Beach, New York and KESTRA INVESTMENT SERVICES, LLC located in New York, New York.
Concetta is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Concetta has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Concetta Jean Gioeli
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.
Busi Name: CHRISTOPHER STREET FINANCIAL POSITION: Client Service Specialist NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 139 START DATE: 10/03/2022 ADDRESS: 475 Park Ave South, #2100, New York NY 10016 DESCRIPTION: I am a client service specialist and will only be servicing client accounts and will not be making investment advice, recommendations or solicitations. At my previous firm I needed to get my Series 7 and Series 66. However, I will not be utilizing them in my current role, but need to be held so I do not lose them. Busi Name: KESTRA ADVISORY SERVICES, LLC POSITION: Client Service Specialist NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/03/2022 ADDRESS: 5707 southwest pkwy,, BLDG 2, suite 400, Austin TX 78735 DESCRIPTION: I am a client service specialist and will only be servicing client accounts and will not be making investment advice, recommendations or solicitations. At my previous firm I needed to get my Series 7 and Series 66. However, I will not be utilizing them in my current role, but need to be held so I do not lose them. Busi Name: CHRISTOPHER STREET FINANCIAL POSITION: Client Services Specialist NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/03/2022 ADDRESS: 475 Park Ave S, Suite 2100, New York NY 10016 DESCRIPTION: Administrative service related duties/back office.
CRS (Client Relationship Summary) - RIA
Click below to view Concetta Jean Botie'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 17, 2022 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 475 Park Ave Suite 2100, New York, NY 10016RIA
CRD#: 283330
Long Beach, NY
Current
October 17, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 475 Park Avenue South Suite 2100, New York, NY 10016BD
CRD#: 42046
New York, NY
Past
June 14, 2021 - October 19, 2022
MORGAN STANLEY
RIA
CRD#: 149777
New York, NY
Past
June 14, 2021 - October 19, 2022
MORGAN STANLEY
BD
CRD#: 149777
New York, NY
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
New York(10/17/2022)
IAR
New York(10/17/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/14/2021
General Securities Representative ExaminationGeneral 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.
