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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

MARK ROBERT WITTHAUS

Advisor at KESTRA ADVISORY SERVICES, LLC

AUSTIN, TX | Clayton, MO

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Search this name across graphsid dfx:ria:8e52fa25-2f11-b3db-f73e-abb68ddf3f4b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 31, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: KESTRA ADVISORY SERVICES, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 19, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jul 19, 2002
First registration: Jul 31, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 4542677

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
KESTRA ADVISORY SERVICES, LLC	Bd affiliated wealth	Aug 11, 2026	n/a	yes	AUSTIN, TX\|Clayton, MO	Current employment
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Dec 2, 2019	Aug 11, 2026	no	Clayton, MO	Previous registration
B RILEY WEALTH MANAGEMENT	Former SEC adviser	Jan 13, 2012	Dec 13, 2019	no	ST. LOUIS, MO	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	Jul 29, 2004	Jan 13, 2012	no	ST. LOUIS, MO\|TOWN AND COUNTRY, MO\|SPRINGFIELD, MO\|SPRINGFIELD, MO	Previous registration
UNION PLANTERS INVESTMENT ADVISORS, INC.	n/a	May 6, 2003	Aug 5, 2004	no	ST. LOUIS, MO	Previous registration
MORGAN STANLEY DW INC.	n/a	Jul 31, 2002	Apr 30, 2003	no	CHESTERFIELD, MO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
COMMONWEALTH FINANCIAL NETWORK	KESTRA ADVISORY SERVICES, LLC	Aug 11, 2026	Aug 11, 2026	0	Firm change	Ibd to ibd
B RILEY WEALTH MANAGEMENT	COMMONWEALTH FINANCIAL NETWORK	Dec 13, 2019	Dec 2, 2019	-11	Firm change	Ibd to ibd
MORGAN KEEGAN & COMPANY, LLC	B RILEY WEALTH MANAGEMENT	Jan 13, 2012	Jan 13, 2012	0	Firm change	Other
UNION PLANTERS INVESTMENT ADVISORS, INC.	MORGAN KEEGAN & COMPANY, LLC	Aug 5, 2004	Jul 29, 2004	-7	Bulk transfer	Other
MORGAN STANLEY DW INC.	UNION PLANTERS INVESTMENT ADVISORS, INC.	Apr 30, 2003	May 6, 2003	6	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
8032:283330:MO:2026-08-11	Aug 11, 2026	Aug 11, 2026	CLAYTON, MO	Firm change
2543:8032:MO:2019-12-13	Dec 13, 2019	Dec 2, 2019	ST LOUIS, MO	Firm change

Relationships

Registered with (6)

→ KESTRA ADVISORY SERVICES, LLCRegistered adviserregistration: current employment
Aug 11, 2026 to presentfactForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Dec 2, 2019 to Aug 11, 2026factForm ADV
→ B RILEY WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jan 13, 2012 to Dec 13, 2019factForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
Jul 29, 2004 to Jan 13, 2012factForm ADV
→ UNION PLANTERS INVESTMENT ADVISORS, INC.Registered adviserregistration: previous registration
May 6, 2003 to Aug 5, 2004factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jul 31, 2002 to Apr 30, 2003factForm ADV

Dated events

Occurred
Aug 11, 2026
Advisor changed firm
Mark Robert Witthaus left Commonwealth Financial Network for Kestra Advisory Services, Llc (registered 2026-08-11)
Form ADVobserved 5 days ago