Robert J. Halvorson
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.
Robert Jon Halvorson was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1979. Robert had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 2, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2022 - January 11, 2023
KESTRA ADVISORY SERVICES, LLC
February 28, 2022 - January 11, 2023
KESTRA INVESTMENT SERVICES, LLC
November 15, 2012 - March 17, 2020
RBC CAPITAL MARKETS, LLC
March 2, 1998 - March 17, 2020
RBC CAPITAL MARKETS, LLC
April 22, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
June 19, 1983 - September 7, 1984
AETNA LIFE INSURANCE AND ANNUITY COMPANY
March 2, 1982 - May 5, 1997
PIPER SANDLER & CO.
December 28, 1981 - May 19, 1986
AMERICAN GENERAL EQUITY SERVICES CORPORATION
February 1, 1979 - October 11, 1983
HIMCO DISTRIBUTION SERVICES COMPANY
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 1/25/1979
Registered Representative ExaminationSeries 2
Date: 12/4/1974
Non-Member General Securities ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
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.
