TrueAdvisor
TrueAdvisor
MS
MS

Mark Small

Kestra Advisory Services, LLC
20 Years of Experience
Dallas, TX
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Mark Small is a registered investment advisor at Kestra Advisory Services, LLC, based in Dallas, TX, with 20 years of industry experience. Mark 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
—
View Full SEC Brochure

Location

Dallas, TX

Get directions

History

Regulatory History (2)
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.
Regulatory
March 2007
Final
Regulatory
June 2004
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Mark is a CPA and owner of Mark Small, CPA, providing tax and accounting services, dedicating minimal time to this. He is also an Investment Advisor Representative and Insurance Agent for Halcyon Wealth Advisors, LLC and COWTOWN FINANCIAL PLANNING, spending nearly full-time on these activities, and an Investment Advisor Representative for Kestra Advisory Services, LLC, also potentially full-time. Mark owns rental property, dedicating minimal time to it.

Employment History
Current Registrations
Kestra Advisory Services, LLC
April 2016 - Present · 10 yrs 6 mos
Kestra Investment Services, LLCBroker
February 2009 - Present · 17 yrs 8 mos
Previous Registrations
NFP Advisor Services, LLC
February 2009 - September 2016 · 7 yrs 7 mos
NFP Securities, INC.
October 2008 - October 2008 · 0 mos
Legacy Harbor
May 2006 - July 2009 · 3 yrs 2 mos
State Registrations20 states
ALARAZCACODCFLGAINKYLAMAMDMNNCNMNYOHTXWA
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.
More Advisors
More financial advisors in Dallas, TX →All financial advisors in Texas →