JC
John R. Carey
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CRD#: 846339
JC
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.
John Rigby Carey was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1977. John had worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 24, Series 27, Series 4 and Series 40 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: Carey Family Partnership Investment Related: No Address: 8080 E. Central Ste.200 Wichita KS 67206 Nature of Business: Other Other/None of the Above Talk to farmers and write checks Position, Title or Relationship: General Partner of farms owned be myself and my daughters Start Date: 4/1/1979 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Make decisions and pay bills Business Name: R&D Properties Investment Related: No Address: 8080 E. Central Ste.200 Wichita KS 67206 Nature of Business: Real Estate Position, Title or Relationship: Partner Start Date: 5/1/1996 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: None Business 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: 10/17/2016 Hours per month: 51% - 60% (81 - 96 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: Investment Advisor Representative Business Name: Fortis Advisors Investment Related: Yes Address: 8080 E Central Ste 200 Wichita KS 67206 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Start Date: 9/16/2019 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Investment Advisor Business Name: SABRE WEALTH POSITION: Financial Advisor NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 90 SECURITIES TRADING HOURS: 90 START DATE: 01/04/2023 ADDRESS: 1223 N Rock Road, Building G Suite 300, Wichita KS 67206 DESCRIPTION: This is a new DBA of a existing Kestra Independent Office
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
October 14, 2016 - March 31, 2023
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Wichita, KS
Past
October 11, 2016 - March 31, 2023
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Wichita, KS
Past
November 16, 2010 - December 31, 2016
CAREY, THOMAS, HOOVER & BREAULT ADVISORS
RIA
CRD#: 155330
WICHITA, KS
Past
May 13, 2004 - December 31, 2010
CAREY, THOMAS, HOOVER, & BREAULT, INC.
RIA
CRD#: 38367
WICHITA, KS
Past
May 17, 2001 - October 17, 2016
CAREY, THOMAS, HOOVER, & BREAULT, INC.
BD
CRD#: 38367
WICHITA, KS
Past
May 19, 1981 - May 17, 2001
CAREY, THOMAS & ASSOCIATES, INC.
BD
CRD#: 8607
WICHITA, KS
Past
September 21, 1979 - February 2, 1982
HARTER SECURITIES, INC.
BD
CRD#: 8020
Past
May 8, 1979 - June 6, 1980
MICK, STACK ASSOCIATES, INC
BD
CRD#: 6726
Past
December 5, 1977 - January 18, 1980
LOWELL H. LISTROM & COMPANY INC.
BD
CRD#: 6336
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
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 1/3/1978
Registered Principal ExaminationCurrent Firm
KI
KESTRA INVESTMENT SERVICES, LLC
KESTRA INVESTMENT SERVICES, LLC | PARTNERS SECURITIES, INC. | NFP SECURITIES, INC. | NFP SECIRITIES, INC. | NFP ADVISOR SERVICES, LLC | NFP ADVISOR SERVICES
CRD#: 42046 / SEC#: , 8-49672
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
5707 Southwest Parkway 2-125, Austin, TX 78746
Mailing Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Phone number
(844) 553-7872
Established
Texas since 09/01/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
