KS
Kai M. Swick
KESTRA ADVISORY SERVICES
Encinitas, CA 92024
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CRD#: 7585373
KS
Professional summary
Kai Matthew Swick is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Encinitas, California and KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.
Kai is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Kai 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.
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: 06/19/2025 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: SOLOMON WEALTH MANAGEMENT POSITION: Independent Contractor NATURE: Tax/Accounting/CPA INVESTMENT RELATED: No # OF HOURS: 80 SECURITIES TRADING HOURS: 20 START DATE: 01/01/2023 ADDRESS: 531 Encinitas Blvd, Ste 200, Encinitas CA 92024, United States DESCRIPTION: I collect tax documents, prepare and file tax returns, and work with clients on tax planning. I use Lacerte tax software for preparing and filing the returns and SmartVault for securely obtaining tax documents. I also bill clients.
CRS (Client Relationship Summary) - RIA
Click below to view Kai Matthew Swick'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
June 18, 2025 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 531 Encinitas Blvd Suite 200, Encinitas, CA 92024RIA
CRD#: 283330
Encinitas, CA
Current
June 18, 2025 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735BD
CRD#: 42046
Austin, TX
Past
September 12, 2023 - June 20, 2025
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
ENCINITAS, CA
Past
August 5, 2023 - June 20, 2025
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
ENCINITAS, CA
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(6/18/2025)
RR
California(6/18/2025)
IAR
California(6/20/2025)
RR
Florida(6/18/2025)
RR
Indiana(6/18/2025)
RR
Oregon(7/21/2025)
RR
Texas(6/18/2025)
IAR
Texas(6/18/2025)
RR
Utah(6/18/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/4/2023
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.
