KV
Kyle W. Vaughan
KESTRA ADVISORY SERVICES
Summit, NJ
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CRD#: 7011540
KV
Professional summary
Kyle William Vaughan, who also goes by Kyle Vaughan, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Summit, New Jersey and KESTRA INVESTMENT SERVICES, LLC located in New York, New York.
Kyle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Kyle has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kyle Vaughan
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: NFP Investment Related: Yes Address: 340 Madison Avenue New York NY 10173 Nature of Business: Registered Field Assistant Position, Title or Relationship: field assistant Start Date: 2/21/2017 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Support 401k plan sponsors on plan design, investment options, compliance, employee education, and fee bench marking.Business Name: Kyle Vaughan Investment Related: No Address: 2101 4th Avenue #400 Seattle WA 98121 Nature of Business: Other Other/None of the Above Dog walker Position, Title or Relationship: Independent contractor Start Date: 6/1/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: No obligations. Done in my spare time but there is compensation.Business Name: SIFMA Foundation's InvestWrite Program (volunteer capacity only) Investment Related: No Address: 120 Broadway, 35th Floor New York NY 10271 Nature of Business: Other Other/None of the Above N/A Position, Title or Relationship: Volunteer Judge Start Date: 5/1/2021 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Provide feedback around structure, content, grammar, and overall analysis of their investing topic of choice.
CRS (Client Relationship Summary) - RIA
Click below to view Kyle William Vaughan'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
January 19, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 200 Park Ave Ste 3202, New York, NY 10166RIA
CRD#: 283330
Summit, NJ
Current
October 12, 2018 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 200 Park Ave Ste 3202, New York, NY 10166BD
CRD#: 42046
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 Jersey(1/19/2023)
IAR
New Jersey(1/20/2023)
RR
New York(1/19/2023)
IAR
New York(1/19/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/29/2021
General Securities Representative ExaminationGeneral 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.
