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John Gustafson

Kestra Advisory Services, LLC
32 Years of Experience
Chappaqua, NY
8 DisclosuresBrokerSells Insurance
View SEC Summary
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John Gustafson is a registered investment advisor at Kestra Advisory Services, LLC, based in Chappaqua, NY, with 32 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Annuities, Education Planning, Estate Planning, Insurance Planning, and 3 more. Their firm serves 117,403 clients with $80B in assets under management.

Kestra Advisory Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1456 advisors
Number of Clients
117,403 clients
Average Client Portfolio
$680K average
Assets Under Management
$79.8B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Asset-based fees range up to 2.5% of assets under management and are negotiable based on account size, registration type, and services provided.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Chappaqua, NY

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History

Regulatory History (8)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
May 2023
Judgment / Lien
October 2016
Judgment / Lien
February 2016
Judgment / Lien
November 2015
Judgment / Lien
January 2015
Judgment / Lien
September 2014
Judgment / Lien
May 2014
Judgment / Lien
March 2014
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

John uses Ash Brokerage as a general agent for life insurance, and Westchester Benefits to write health insurance and long-term care, but reports having no formal role in either company. He also owns Gustafson Wealth Management and is an Investment Advisor Representative with Kestra Advisory Services, spending nearly full-time on these investment-related activities.

Employment History
Current Registrations
Kestra Advisory Services, LLC
June 2021 - Present · 5 yrs 4 mos
Kestra Investment Services, LLCBroker
November 2003 - Present · 22 yrs 11 mos
Previous Registrations
Veravest Investments, INC.Broker
February 1995 - November 2003 · 8 yrs 9 mos
Cadaret, Grant & CO., INC.Broker
October 1993 - December 1994 · 1 yr 2 mos
State Registrations14 states
CACTDEFLGAILNCNJNYPASCTNTXVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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