Stephen Ira Falk

Employer firm

Kestra Advisory Services, LLC CRD 283330

$79.8B regulatory AUM 6,392 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2002 → Present
  Westbrooks Financial Services
  Dallas, TX
• 09/2013 → 10/2018
  Cetera Advisor Networks Llc
  El Segundo, CA
• 10/2018 → Present
  Kestra Investment Services, Llc.
  Richardson, TX
• 10/2018 → Present
  Kestra Advisory Services, Llc.
  Richardson, TX

Previous Registrations

• 2014-07-07 → 2018-10-18
  Cetera Wealth Services, Llc
  Tulsa, OK
  Richardson, TX

Other Businesses

Bus Name: Westbrooks Dugger & Westbrooks Financial, Inc. DBA WDW Financial Investment Related: Yes Address: 2600 N. Central Expy, Suite 575 Richardson TX 75080 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Partner & Advisor Start Date: 3/1/2002 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Advising clients Bus 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: IAR Start Date: 10/18/2018 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Advisor, Financial Planner Bus Name: Temple Shalom Investment Related: No Address: 6930 Alpha Road Dallas TX 75240 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: board member, treasurer Start Date: 1/1/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: be an ambassador, volunteer time Bus Name: Hillels of North Texas Investment Related: No Address: 1920 N Coit Road, Suite 200314 Richardson TX 75080 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: President, Board Chair Start Date: 7/1/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: run board meetings, be an ambassador to the organization Bus Name: Anti Defamation League Investment Related: No Address: 5720 LBJ Fwy Dallas TX 75240 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.); Community/Charitable/Civic Volunteer (Non-Leadership Position) Position, Title or Relationship: member of board, non-leadership Start Date: 1/1/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: be an ambassador to the organization Bus Name: WDW TAX SERVICES POSITION: Owner of WDW Financial, which owns WDW Tax Services, LLC. NATURE: Tax/Accounting/CPA INVESTMENT RELATED: No, # OF HOURS: 2 SECURITIES TRADING HOURS: 3 START DATE: 02/20/2025 ADDRESS: 2600 N. Central Expy, Suite 575, Richardson TX 75080, United States DESCRIPTION: As an owner of WDW Financial, I will be involved directly and indirectly in the leadership and management of WDW TaxServices, LLC.

Exams

• S63 Uniform Securities Agent State Law Examination
  2005-02-22

Designations

• Certified Financial Planner

Other Names

• Stephen Falk