AO
Allan S. Oxman
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CRD#: 816019
AO
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Allan Shelly Oxman was a registered financial professional .
Allan is a previously registered financial professional and started their career in finance in 1975. Allan had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
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: Oxman Enterprises, LLC Investment Related: No Address: 2823 Providence Rd Unit 312 Charlotte NC 28211 Nature of Business: Mortgage Related; Real Estate Position, Title or Relationship: Owner Start Date: 1/1/2006 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Marketing and managementBusiness Name: The Oaks Condo Investment Related: No Address: 3475 Oak Valley Rd Atlanta GA 30326 Nature of Business: Community/Charitable/Civic Position, Title or Relationship: Board member Start Date: 1/27/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Decision of management issues of condominium HOABusiness Name: Allan & Marcelle Oxman Investment Related: Yes Address: 2823 Providence Rd Unit 312 Charlotte NC 28211 Nature of Business: Real Estate Position, Title or Relationship: Owner Start Date: 10/1/1986 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Rental property ManagementBusiness Name: Coordinated Benefits Ltd Investment Related: Yes Address: 419 S. Sharon Amity Road, Suite C Charlotte NC 28211 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance Position, Title or Relationship: Owner Start Date: 1/1/1979 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: Sales and MarketingBusiness Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory servicesBusiness Name: Creative Planning Strategies Investment Related: Yes Address: 419 S Sharon Amity Rd Suite C Charlotte NC 28211 Nature of Business: Insurance Position, Title or Relationship: Managing Partner/Principal Start Date: 7/1/2018 Hours per month: 81% - 90% (129 - 144 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: Sale and service of fixed life productsBusiness Name: Jewish Federation of Greater Chrlotte Investment Related: No Address: 5007 Providence Rd Charlotte NC 28226 Nature of Business: Other Other/None of the Above Fund raising Position, Title or Relationship: Fund Raiser Solicitor Start Date: 1/1/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Fund Raiser
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
April 18, 2016 - March 31, 2023
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
CHARLOTTE, NC
Past
November 30, 2010 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
Charlotte, NC
Past
November 30, 2010 - March 31, 2023
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Charlotte, NC
Past
May 27, 2008 - November 29, 2010
NRP ADVISORS, INC.
RIA
CRD#: 141430
CHARLOTTE, NC
Past
May 27, 2008 - November 29, 2010
NRP FINANCIAL, INC.
BD
CRD#: 103717
CHARLOTTE, NC
Past
February 16, 2005 - May 28, 2008
OGILVIE SECURITY ADVISORS CORPORATION
RIA
CRD#: 10105
CHARLOTTE, NC
Past
February 9, 2005 - May 28, 2008
OGILVIE SECURITY ADVISORS CORPORATION
BD
CRD#: 10105
CHARLOTTE, NC
Past
April 1, 2003 - March 8, 2005
WALNUT STREET ADVISERS INC
RIA
CRD#: 109903
CHARLOTTE, NC
Past
May 10, 2001 - March 8, 2005
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
August 23, 1995 - May 10, 2001
OGILVIE SECURITY ADVISORS CORPORATION
BD
CRD#: 10105
CHICAGO, IL
Past
December 23, 1992 - August 24, 1995
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
June 8, 1992 - December 10, 1992
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
June 3, 1986 - January 16, 1992
SCEPTER SECURITIES, INC.
BD
CRD#: 14867
Past
May 17, 1982 - August 25, 1983
FSC SECURITIES CORPORATION
BD
CRD#: 7461
Past
August 30, 1979 - June 11, 1986
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
Past
December 8, 1975 - March 17, 1978
PAUL REVERE EQUITY SALES COMPANY (THE)
BD
CRD#: 2990
Past
December 8, 1975 - October 18, 1983
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
BD
CRD#: 647
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 12/3/1975
Registered Representative ExaminationCurrent 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.
