PR
Paul J. Rogers
KESTRA ADVISORY SERVICES
Mckinney, TX 75072
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CRD#: 7229941
PR
Professional summary
Paul Jacob Rogers is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Mckinney, Texas and KESTRA INVESTMENT SERVICES, LLC located in Mckinney, Texas.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Paul has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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.
***Fixed Insurance; Not Investment Related; Addison, TX; Agent; Fixed Life, Annuity, DI, Health, LTC, Medicare Supplements, and Group Products; Start Date: 01/16/2020; 200 hrs per month; 5 during trading hours. ***Mckinney Wealth Management; Not Investment Related; Mckinney, TX; Registered Administrative Staff; Complete firm administration tasks pertaining to clients. Running reports, scheduling, organizing insurance labs.; Start Date: 01/01/2020; 40 hrs per month; 40 during trading hours. MCKINNEY WEALTH MANAGEMENT POSITION: Advisor NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 01/11/2022 ADDRESS: 2600 Eldorado Pkwy, 210, mckinney TX 75070, United States DESCRIPTION: FInd new clients, sales, and client relations KESTRA ADVISORY SERVICES POSITION: Advisor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 01/10/2023 ADDRESS: 5707 SW Pkwy, Ste 400, Austin TX 78735, United States DESCRIPTION: Prospecting, Sales, client outreach
CRS (Client Relationship Summary) - RIA
Click below to view Paul Jacob Rogers'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
March 8, 2022 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 6928 Mediterranean Dr Ste 200, Mckinney, TX 75072RIA
CRD#: 283330
Mckinney, TX
Current
March 8, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 6928 Mediterranean Dr Ste 200, Mckinney, TX 75072BD
CRD#: 42046
McKinney, TX
Past
July 20, 2020 - February 14, 2022
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
MCKINNEY, TX
Past
July 15, 2020 - February 14, 2022
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
MCKINNEY, TX
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(3/23/2022)
RR
Texas(3/8/2022)
IAR
Texas(3/8/2022)
RR
Utah(10/13/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/14/2020
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.
