John Gustafson
John Gustafson is a registered investment advisor at Kestra Advisory Services, LLC, based in Chappaqua, NY, with 32 years of industry experience. John operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 97,702 clients with $60B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Kestra Advisory Services' (Kestra AS) fees for managing your investments are a percentage of the value of your portfolio, up to a maximum of 2.5% per year. The exact percentage is determined by your advisor based on factors like the size of your account, the type of account (e.g., retirement), the services you receive, and the platform you choose. These fees are negotiable.
Kestra AS offers different advisory platforms with varying program fees that are deducted from the client fee you negotiate with your advisor. These platforms include AdvisorEnterprise, Horizon, and AdvisorChoice. Each platform has different features, costs, and minimum account sizes.
There are also third-party managed solutions available through platforms like Focus Partners Advisor Solutions, Symmetry Partners, SEI and AssetMark.
Location
57 South Bedford Road, Suite 1-N, Chappaqua, NY, 10514
Get directionsHistory
Regulatory History (9)
Judgment / Lien
May 2023Judgment / Lien
October 2016Financial
April 2016Judgment / Lien
February 2016Judgment / Lien
November 2015Judgment / Lien
January 2015Judgment / Lien
September 2014Judgment / Lien
May 2014Judgment / Lien
March 2014Other 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
Kestra Investment Services, LLCBroker
Previous Registrations
Veravest Investments, INC.Broker
Cadaret, Grant & CO., INC.Broker
State Registrations14 states
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.