LM
Lindsey Miles
KESTRA ADVISORY SERVICES
Louisville, KY
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CRD#: 7469980
LM
Professional summary
Lindsey Miles, who also goes by Lindsey Nichols, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Louisville, Kentucky and KESTRA INVESTMENT SERVICES, LLC located in Louisville, Kentucky.
Lindsey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Lindsey has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lindsey Nichols
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.
I am currently employed as a Paralegal with American Commercial Barge Line. It is not investment related. Business Name: WATKINS UNITED METHODIST CHURCH POSITION: Co-Chair of the Finance Committee NATURE: religious institution INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2019 ADDRESS: 9800 WESTPORT RD, Louisville KY 40241, United States DESCRIPTION: I monitor the financials and help prepare the following years budget. Business Name: HELM, CREZNIC & WILHOIT INC. POSITION: Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 40 START DATE: 01/10/2022 ADDRESS: 4965 US Hwy 42, STE 1000, Louisville KY 40222, United States DESCRIPTION: Selling life and health insurance policies to clients. Business Name:WATKINS UNITED METHODIST CHURCH POSITION: Member NOB: Board position (Board of Directors, Board of Trustees, etc.) INV REL: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2024 ADDRESS: 9800 WESTPORT RD, Louisville KY 40241 DESC: Our team collectively reviews the finances, contracts, repairs, staff and overall business of the Church. Business Name: KESTRA ADVISORY SERVICES POSITION: Financial Advisor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 09/01/2022 ADDRESS: 5707 Southwest Parkway, Bldg. 2, Ste. 400, Austin TX 78735 DESCRIPTION: Financial Advisor with Kestra Advisory Services
CRS (Client Relationship Summary) - RIA
Click below to view Lindsey Miles'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
April 4, 2022 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 6500 Glenridge Park Place Unit 5, Louisville, KY 40222RIA
CRD#: 283330
Louisville, KY
Current
January 31, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 6500 Glenridge Park Place Unit 5, Louisville, KY 40222BD
CRD#: 42046
Louisville, KY
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
Colorado(1/24/2025)
RR
Delaware(5/6/2025)
RR
Indiana(6/6/2025)
IAR
Kentucky(4/4/2022)
RR
Kentucky(6/8/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/29/2022
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.
