LR
Lorena Ruelas
KESTRA ADVISORY SERVICES
Ceres, CA
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CRD#: 6897072
LR
Professional summary
Lorena Ruelas is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Ceres, California and KESTRA INVESTMENT SERVICES, LLC located in San Diego, California.
Lorena is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Lorena has worked at 3 firms and has passed the Series 66, SIE and Series 7 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.
Business Name: KESTRA ADVISORY SERVICES, LLC POSITION: NA NATURE: Registered Field Assistant INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/15/2024 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: NA Business Name: MODERN WEALTH COLLECTIVE POSITION: Client experience and operations associate NATURE: Registered Field Assistant INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 04/29/2024 ADDRESS: 7220 Trade St Ste 115,, San Diego CA 92121, United States DESCRIPTION: Act as liaison between Lead Advisor and clients while following FINRA guidelines as a registered operations associate. Aid Lead Advisor in entering trades instructed by clients or Advisor. Aid Lead Advisor in preparing client illustrations, graphs, charts, reports, etc. for appointments with clients. Prepare and complete client paperwork via Docusign and follow up tasks to support Lead Advisor. Spend time with clients on the phone, via virtual visits and in person to ensure client service level needs. Set client financial review meetings based on client service level agreement and prepare follow up meetings based on needs. Maintain Lead Advisor's calendar, our client servicing platform, RedTail CRM, eMoney, current and future tasks and follow up processes. Maintain Compliance guidelines, client communication notes in RedTail while following standards in a timely manner. Work with Lead Advisor through weekly meetings to help maintain Advisors Business Plan process, tasks, and client communication expectations and follow up processes.
CRS (Client Relationship Summary) - RIA
Click below to view Lorena Ruelas'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
May 3, 2024 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 7220 Trade Street Suite 365, San Diego, CA 92121RIA
CRD#: 283330
Ceres, CA
Current
May 3, 2024 - Present
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
SAN DIEGO, CA
Past
November 27, 2018 - January 8, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MODESTO, CA
Past
October 15, 2018 - January 8, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MODESTO, CA
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
California(5/3/2024)
IAR
California(5/3/2024)
Exams
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.
