NS
Nicholas Schwarzenberg
KESTRA ADVISORY SERVICES
Frederick, MD 21701
Some features on this profile are disabled
CRD#: 7547290
NS
Professional summary
Nicholas Schwarzenberg is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Frederick, Maryland and KESTRA INVESTMENT SERVICES, LLC located in Frederick, Maryland.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Nicholas has worked at 2 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.
Business Name: RS WILL WEALTH MANAGEMENT, LLC POSITION: Investment Associate NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/02/2022 ADDRESS: 154 A N. Market Street, Frederick MD 21701 DESCRIPTION: Pass Series 7 & 66 Execute trades Support investment projects Business Name: KESTRA ADVISORY SERVICES, LLC POSITION: Investment Associate NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/02/2022 ADDRESS: 5707 Southwest Pkwy, BLDG 2, Suite 400, Austin TX 78735 DESCRIPTION: Trading clients accounts. Preparing meeting documentation. Client & team education.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Schwarzenberg'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
July 29, 2022 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 154 N. Market Street Ste. 154a, Frederick, MD 21701RIA
CRD#: 283330
Frederick, MD
Current
June 9, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 154 N. Market Street Ste. 154a, Frederick, MD 21701BD
CRD#: 42046
Frederick, MD
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(8/3/2022)
RR
Arkansas(8/3/2022)
RR
California(8/3/2022)
RR
Colorado(8/3/2022)
RR
Connecticut(8/3/2022)
RR
Delaware(8/3/2022)
RR
District of Columbia(8/3/2022)
RR
Florida(8/3/2022)
RR
Georgia(8/3/2022)
RR
Idaho(8/3/2022)
RR
Illinois(8/3/2022)
RR
Indiana(8/3/2022)
RR
Kentucky(8/3/2022)
RR
Louisiana(8/3/2022)
RR
Maine(8/3/2022)
RR
Maryland(7/29/2022)
IAR
Maryland(7/29/2022)
RR
Massachusetts(8/3/2022)
RR
Michigan(8/3/2022)
RR
Minnesota(8/3/2022)
RR
Mississippi(8/3/2022)
RR
Montana(8/3/2022)
RR
Nebraska(8/3/2022)
RR
New Hampshire(8/3/2022)
RR
New Jersey(8/3/2022)
RR
New Mexico(8/3/2022)
RR
New York(8/3/2022)
RR
North Carolina(8/3/2022)
RR
North Dakota(8/3/2022)
RR
Ohio(8/3/2022)
RR
Oklahoma(8/3/2022)
RR
Oregon(1/14/2025)
RR
Pennsylvania(8/3/2022)
RR
Rhode Island(1/7/2025)
RR
South Carolina(8/3/2022)
RR
Tennessee(8/3/2022)
RR
Texas(8/3/2022)
IAR
Texas(8/3/2022)
RR
Utah(1/7/2025)
RR
Vermont(8/3/2022)
RR
Virginia(8/3/2022)
RR
Washington(8/3/2022)
RR
West Virginia(8/3/2022)
RR
Wisconsin(1/7/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/9/2022
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
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.
