AB
Allison K. Baines
KESTRA ADVISORY SERVICES
Ball Ground, GA
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CRD#: 6556939
AB
Professional summary
Allison Kaye Baines, CFP®, who also goes by Allison Kaye Nye, Allison Nye, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Ball Ground, Georgia and KESTRA INVESTMENT SERVICES, LLC located in Alpharetta, Georgia.
Allison is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Allison has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Allison Kaye Nye | Allison Nye
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Business Name: Oxygen Financial Tax and Business Investment Related: No Address: 35 Old Canton Street Alpharetta GA 30009 Nature of Business: Other Other/None of the Above Offer online account aggregation, online vault storage, tax and business Position, Title or Relationship: Independent Contractor Start Date: 10/21/2020 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Sales and ongoing administration of financial dashboard servicesBusiness Name: oXYGen Financial Insurance Investment Related: No Address: 35 Old Canton Street Alpharetta GA 30009 Nature of Business: Insurance Position, Title or Relationship: Agent. Start Date: 4/1/2018 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Presenting ideas to clients around risk mitigation and protection for families and business owners by presenting solutions like life, disability, and long term care insurance. CIRCLE 285, LLC POSITION: employee NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 7 START DATE: 03/01/2018 ADDRESS: 35 Old Canton Street, Alpharetta GA 30009, United States DESCRIPTION: Sales and client service
CRS (Client Relationship Summary) - RIA
Click below to view Allison Kaye Baines's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
November 21, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 11800 Amberpark Drive Suite 240, Alpharetta, GA 30009Office #3: 577 Ralph Mcgill Blvd Ne, Atlanta, GA 30312RIA
CRD#: 283330
Ball Ground, GA
Current
June 10, 2016 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 11800 Amberpark Drive Suite 240, Alpharetta, GA 30009Office #2: 577 Ralph Mcgill Blvd Ne, Atlanta, GA 30312BD
CRD#: 42046
Alpharetta, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/2/2019)
RR
Alaska(10/20/2021)
RR
Arizona(8/29/2019)
RR
Arkansas(8/29/2019)
RR
California(10/2/2020)
RR
Colorado(1/2/2019)
RR
Connecticut(1/29/2021)
RR
District of Columbia(10/2/2020)
RR
Florida(1/2/2019)
IAR
Georgia(11/21/2016)
RR
Georgia(2/1/2018)
RR
Illinois(1/2/2019)
RR
Indiana(2/11/2021)
RR
Maryland(8/17/2020)
RR
Massachusetts(10/20/2021)
RR
Michigan(8/29/2019)
RR
Mississippi(10/20/2021)
RR
Missouri(10/20/2021)
RR
Nevada(10/20/2021)
RR
New Jersey(1/2/2019)
RR
New Mexico(10/2/2020)
RR
New York(4/18/2020)
RR
North Carolina(1/2/2019)
RR
Ohio(11/15/2019)
RR
Pennsylvania(2/18/2021)
RR
Puerto Rico(3/15/2021)
RR
South Carolina(1/2/2019)
RR
Tennessee(8/11/2021)
RR
Texas(10/2/2020)
RR
Virginia(6/8/2022)
RR
Wisconsin(10/20/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
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.
