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.
Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 11/12/2024 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 11/12/2024 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: OPTIMA WEALTH MANAGEMENT, INC. POSITION: FINANCIAL ADVISOR NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 32 START DATE: 11/12/2024 ADDRESS: 2601 NETWORK BLVD., SUITE 430, FRISCO TX 75034, United States DESCRIPTION: PROVIDE FINANCIAL ADVICE TO CLIENTS USING COMMISSIONED AND FEE BASED ACCOUNTS. Name: RENTOVATORS LTD. POSITION: LIMITED PARTNER NATURE: Real Estate INVESTMENT RELATED: Yes # OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/01/1975 ADDRESS: 2730 WOLF CREEK DR, LUCAS TX 75002, United States DESCRIPTION: I keep the books and participate with my partner in the ongoing decisions needed to run the properties.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Dale Stein'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
November 28, 2024 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 2601 Network Blvd Ste 430, Frisco, TX 75034RIA
CRD#: 283330
Frisco, TX
Current
November 27, 2024 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2601 Network Blvd. Ste 430, Frisco, TX 75034BD
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
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Frisco, TX 75034TRUST BUT VERIFY
Monitor Jonathan Stein
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
