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JS

Jonathan D. Stein

KESTRA ADVISORY SERVICES
Frisco, TX 75034
Some features on this profile are disabled
CRD#: 722335
JS

Professional summary

Jonathan Dale Stein, who also goes by John Stein, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Frisco, Texas and KESTRA INVESTMENT SERVICES, LLC located in Frisco, Texas.

Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Jonathan has worked at 8 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 79TO, SIE, Series 7, Series 24, Series 53 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

John Stein

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 Jonathan Dale Stein'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

November 28, 2024 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 2601 Network Blvd Ste 430, Frisco, TX 75034
RIA
CRD#: 283330
Frisco, TX
Current

November 27, 2024 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 2601 Network Blvd. Ste 430, Frisco, TX 75034
BD
CRD#: 42046
Frisco, TX
Past

March 4, 2005 - November 25, 2024

PROSPERA FINANCIAL SERVICES, INC.

RIA
CRD#: 10740
DALLAS, TX
Past

September 16, 1987 - November 25, 2024

PROSPERA FINANCIAL SERVICES, INC.

BD
CRD#: 10740
DALLAS, TX
Past

September 3, 1985 - September 24, 1987

TEXAS SECURITIES, INC.

BD
CRD#: 7655
Past

November 29, 1983 - September 6, 1985

TEXAS INDEPENDENT SECURITIES, INC.

BD
CRD#: 13667
Past

January 31, 1983 - October 5, 1983

HILLTOP SECURITIES INC.

BD
CRD#: 6220
Past

October 7, 1982 - February 16, 1983

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

BD
CRD#: 76
Past

January 19, 1981 - August 20, 1982

INSTITUTIONAL EQUITY CORPORATION

BD
CRD#: 4035

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
Arizona
(11/27/2024)
RR
Arkansas
(11/27/2024)
RR
California
(12/2/2024)
RR
New York
(11/27/2024)
RR
Oklahoma
(12/2/2024)
RR
Pennsylvania
(11/27/2024)
RR
Texas
(11/28/2024)
IAR
Texas
(11/28/2024)
RR
Washington
(12/2/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 1/23/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/17/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 1/2/2023
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/2/2023
Registered Options Principal Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (11/24/2025)
KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (11/24/2025)
KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (11/24/2025)

Regulatory assets under management

Total Number of Accounts155,482
AUM (Assets Under Management)$ 60,174,309,829

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/01/2025
Cover Page
Report
12/23/2024
Cover Page
Report
10/20/2023
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.

Company Information

KESTRA ADVISORY SERVICES, LLC

CRD#: 283330Frisco, TX 75034

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