John R. Stockton

KESTRA ADVISORY SERVICES

ARLINGTON, TX 76017

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CRD#: 836438

Professional summary

John Robert Stockton JR is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Arlington, Texas and KESTRA INVESTMENT SERVICES, LLC located in Arlington, Texas.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. John has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 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.

KESTRA ADVISORY SERVICES LLC POSITION: REGISTERED REPRESENTATIVE NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 100 START DATE: 04/28/2022 ADDRESS: 5707 SOUTHWEST PARKWAY, BLDG 2 SUITE 400, AUSTIN TX 78735, United States DESCRIPTION: Registered Rep activities through Kestra Financial. General financial planning and securities investing for clients.160

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Robert Stockton JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 29, 2022 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 2340 West Interstate 20 Ste 208, Arlington, TX 76017

RIA

CRD#: 283330

ARLINGTON, TX

Current

April 29, 2022 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 2340 W Interstate 20 Suite 208, Arlington, TX 76017

CRD#: 42046

Arlington, TX

Past

August 11, 2006 - April 29, 2022

WORLD CHOICE SECURITIES, INC.

RIA

CRD#: 30933

ARLINGTON, TX

Past

December 6, 2001 - April 29, 2022

WORLD CHOICE SECURITIES, INC.

CRD#: 30933

ARLINGTON, TX

Past

September 25, 2000 - December 20, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 7, 1985 - October 16, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 14, 1984 - October 21, 1985

FIRST AFFILIATED SECURITIES, INC.

CRD#: 6871

Past

August 2, 1982 - July 2, 1984

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

April 20, 1977 - July 30, 1982

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

CRD#: 2873

Past

April 20, 1977 - July 30, 1982

MONY SECURITIES CORPORATION

CRD#: 4386

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".

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.

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

California
(4/29/2022)

Missouri
(4/29/2022)

North Carolina
(5/2/2022)

Oklahoma
(6/9/2022)

Texas
(4/29/2022)

IAR

Texas
(4/29/2022)

Virginia
(4/29/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/17/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/12/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/1983

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 4/12/1977

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/27/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

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	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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John R. Stockton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Robert Stockton JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

WORLD CHOICE SECURITIES, INC.

WORLD CHOICE SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FIRST AFFILIATED SECURITIES, INC.

E. F. HUTTON & COMPANY INC

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/17/2006

Series 63

Date: 8/12/1983

SIE

Date: 10/1/2018

Series 7

Date: 4/16/1983

Series 1

Date: 4/12/1977

Series 24

Date: 3/27/2003

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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